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Showing 92 to 101 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. Using the FSA’s 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.

  3. Personal accountability

    Speeches Published: 02/12/2015 Last modified: 19/04/2016
    Speech by Tracey McDermott, Acting Chief Executive, FCA, delivered at the City & Financial conference on Personal Accountability in the Financial Services Industry, 2 December 2015, London. This is the text of the speech as drafted, which may differ

  4. Market Watch 76

    Newsletters Published: 30/01/2024 Last modified: 31/01/2024
    Newsletter on market conduct and transaction reporting issues, October 2023.

  5. Sustainability

    Speeches Published: 22/07/2014 Last modified: 05/08/2014
    In that period we have authorised around 980 new firms. we have completed the registration of some 50,000 consumer credit firms for interim permission (taking the regulated firm population to ... We agree - financial incentive schemes are often a good

  6. A sustainable conduct environment

    Speeches Published: 20/03/2014 Last modified: 27/03/2014
    Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version.

  7. Reaping the rewards of investing in women

    Speeches Published: 16/04/2024 Last modified: 24/04/2024
    Speech by Sheree Howard, Executive Director of Risk and Compliance Oversight at PIMFA Women’s symposium conference

  8. Evaluating our work

    Corporate documents Published: 30/07/2018 Last modified: 19/01/2024
    Find out more about how we evaluate our work in relation to our rules and wider effectiveness, and how this evaluation is a critical part of getting our interventions right and helping us improve our performance.

  9. DP18/2: Transforming culture in financial services

    Discussion papers Published: 12/03/2018 Last modified: 12/03/2018
    The paper is a collection of 28 essays from thought leading academics, industry leaders, international regulators and change practitioners. It is intended to provide a basis for stimulating further debate on transforming culture in the sector.

  10. Diversity: delivering excellence for the future

    Speeches Published: 10/06/2019 Last modified: 11/06/2019
    Speech delivered by Nausicaa Delfas, Executive Director of International at City and Financial: Women in Finance 2019, London

  11. Final Notice: Sonali Bank (UK) Ltd [pdf]

    Final notices Published: 12/10/2016
    This final notice refers to breaches of PRIN 3 and PRIN 11 related to culture/governance, failing to be open and co-operative and financial crime in the retail bank sector. We imposed a fine and suspension/restriction.