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Showing 62 to 71 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. Sign up for FCA events updates

    Last modified: 11/01/2023
    Culture and governance. Financial crime and anti-money laundering. Data security, resilience and outsourcing. ... See our privacy notice for further information about the way we use the personal data collected in this form.

  3. FCA Final Notice 2014: Investments Limited [pdf]

    Final notices Published: 23/07/2014 Last modified: 13/03/2015
    This final notice refers to breaches of PRIN 3 and SYSC related to culture/goverence in the investment adviser sector. We imposed a public censure, suspension, and restriction.

  4. Best of British Conference

    Speeches Published: 14/11/2014 Last modified: 30/01/2015
    Speech by Tracey McDermott, Director of Enforcement and Financial Crime at the Financial Conduct Authority (FCA), delivered at the Best of British Conference hosted by JP Morgan, London. This is the text of the speech as drafted, which may differ

  5. FCA encourages firms to develop purposeful cultures

    News stories Published: 05/03/2020 Last modified: 22/05/2023
    The FCA Discussion Paper on driving purposeful cultures presents a range of views from industry leaders, professional bodies and culture experts, to help firms embed purposeful cultures.

  6. Consumer credit – Treating customers fairly

    Consumer credit firms Published: 23/04/2019 Last modified: 16/02/2023
    We set out why treating customers fairly should be at the heart of your business.

  7. Firms

    Firms Last modified: 27/07/2022
    Tasks for regulated firms and authorisation information for new firms

  8. Modelling integrity through culture

    Speeches Published: 19/11/2013 Last modified: 19/11/2013
    Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013. This is the text of the speech as drafted, which may differ from the delivered version.

  9. Building firm foundations for healthy cultures

    Speeches Published: 20/11/2023 Last modified: 20/11/2023
    Speech by Sheree Howard, Executive Director of Risk and Compliance Oversight at the XLOD Global London conference.

  10. FCA Final Notice 2013: ICAP Europe Ltd [pdf]

    Final notices Published: 25/09/2013 Last modified: 07/04/2015
    This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firms sector. We imposed a fine.

  11. FSA's Investment advice and platforms suitability and disclosure assessment template [xls]

    Archive Published: 26/02/2010 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.