Filter results
Filter by document type
Filter by year
Sort by:

Search results

Showing 52 to 61 of 500 search results for we evaluate firm culture.

  1. Culture and Governance

    Read about the FCA's work on culture and governance, including details of how to get involved.

  2. Leading the Way on Regulation

    Speeches Published: 16/05/2019 Last modified: 17/05/2019
    Speech delivered by Karina McTeague, Director of General Insurance and Conduct Specialists Supervision, at the British Insurance Brokers' Association (BIBA) Conference 2019.  

  3. 2016 fines

    News stories Published: 02/01/2016 Last modified: 02/02/2017
    This table contains information about fines published during the calendar year ending 2016. The total amount of fines is £22,216,446 (excluding Mr Shay Jacob Reches' additional penalty).

  4. The fairness challenge

    Speeches Published: 24/10/2013 Last modified: 25/10/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at Mansion House, London. This is the text of the speech as drafted, which may differ from the delivered version.

  5. Psychological safety

    Firms Tasks for regulated firms Published: 18/02/2019 Last modified: 09/02/2023
    Read about work on psychological safety, part of the FCA culture and governance priority. Watch videos featuring experts discussing creating a speak up, listen up culture in financial services.

  6. Final Notice 2015: David Caplin [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

  7. Final Notice 2015: Jeremy Kraft [pdf]

    Final notices Published: 22/01/2015 Last modified: 22/01/2015
    This final notice refers to breaches of APER 6, APER 7 and FIT, related to wholesale conduct, benchmarks, culture/governance, lack of fitness and propriety in the trading firms sector. We imposed a fine and a prohibition.

  8. Webinar: using assessment as a tool to understand culture

    Events Last modified: 04/02/2020
    Webinar

  9. Investment advice and platforms suitability and disclosure assessment template [pdf]

    Archive Published: 26/03/2010 Last modified: 03/08/2016
    To help firms, we have published a suitability and disclosure assessment template and accompanying notes they can use to evaluate whether the advice given to clients to invest using a platform is suitable.

  10. Final Notice 2015: Moorhouse Group Limited [pdf]

    Final notices Published: 23/04/2015 Last modified: 23/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 7 related to mis-selling and culture/governance in the general insurance and protection sector. We imposed a fine.

  11. Final Notice 2015: Aviva Investors Global Services Limited [pdf]

    Final notices Published: 24/02/2015 Last modified: 24/02/2015
    This final notice refers to breaches of PRIN 3, PRIN 8 and COBS related to unfair treatment of customers, conflicts of interest and culture / governance in the Asset management sector. We imposed a fine.