Code of Conduct (COCON) - Home - FCA Handbook.
The Financial Conduct Authority (FCA) is likely to prefer to use its formal, statutory information gathering powers to require the production of documents and information, but there are certain situations where informal requests for documents and information are more effective, or necessary, for the overall integrity of an investigation.
The Financial Conduct Authority (FCA) has published a discussion paper on driving purposeful cultures.The paper is a set of essays which present a range of views from industry leaders, professional bodies and culture experts to help firms embed purposeful cultures.
The FCA is a regulatory body operating independent of the UK government, set up in April 2013 after the financial crisis, alongside the Prudential Regulation Authority and the Bank of England’s Financial Policy Committee. Before the crisis and the formation of the FCA, the Financial Services Authority was the UK watchdog, formed in 1997 and modelled on US regulators.
The Financial Conduct Authority (FCA)’s Statements of Principle. The fundamental regulatory obligations of approved persons regulated by the FCA. Approved persons must be aware of them, comply with them and understand how they apply to the day-to-day exercise of controlled functions at all times. Statement of Principle 1 An approved person must act with integrity in carrying out his.
The Financial Conduct Authority (FCA)’s recent discussion paper “Transforming Culture in Financial Services” is a set of 28 essays presenting the views of industry leaders, academics and practitioners.It is hoped these essays will encourage further debate on what constitutes, and how to promote, a healthy culture in this sector.
The FCA has published a discussion paper on driving purposeful cultures.It contains a series of essays from various industry leaders, professional bodies and culture experts. The aim of this is to help firms think about and embed healthy, purposeful cultures, which will lead to good outcomes for customers, employees and investors alike.
If you already have an account please use the link below to sign in. If you have any problems with your access or would like to request an individual access account please contact our customer service team. You are currently accessing Risk.net via your Enterprise account. If you already have an.