Search results
Showing 82 to 91 of 500 search results for we evaluate firm culture.
-
Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Speech: Culture in UK banking – regulatory priorities
We believe that poor culture played a significant part in the financial crisis and that it is a root cause of many failings at firms. ... Culture in financial services firms is critical to their ability to deliver the benefits I have just described.A -
FCA Final Notice 2014: Martin Brokers (UK) Ltd (Martins) [pdf]
This final notice refers to breaches of PRIN 3 and PRIN 5 related to wholesale conduct, benchmarks, and culture/governance in the trading firm. We imposed a fine. -
Final Notice 2022: Simon Tyson [pdf]
This Final Notice (Simon Tyson) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial penalty -
Final Notice 2015: Deutsche Bank AG [pdf]
This final notice refers to breaches of PRIN 5, PRIN 3 and PRIN 11 related to wholesale conduct, benchmarks, failing to be open and co-operative and culture/governance in the investment bank sector. We imposed a fine. -
The role of regulation in encouraging good culture
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Investment Association Culture Conference, Mansion House, London. -
CultureSprint: supporting and empowering managers to transform culture
Leadership is a key driver of behaviour and an important element of a firm’s culture. In particular, mid-level managers play a unique role in culture change -
Data strategy 2020
The data strategy sets out the FCA's vision for 2024 and how it will make better use of its data and analytics to transform how it regulates and delivers its Mission. -
Hart Culture C.I.C. / Hart Culture Credit Union
Hart Culture C.I.C. / Hart Culture Credit Union is not authorised or registered by the FCA. Find out more about unauthorised firms and individuals. -
FCA Final Notice 2014: Financial Limited [pdf]
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. -
Using the FSA’s investment advice and platforms suitability and disclosure assessment template [pdf]
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.