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  1. Charles Randell - Chairman, External, Board & Executive Committee Meetings for Jan to Mar 2019 [pdf]

    FOI releases

    Published: 20/05/2019

  2. Chris Woolard – Director of Strategy and Competition: External, Board & Executive Committee Meetings for 1 Jan – 31 Mar 2019 [pdf]

    FOI releases

    Published: 20/05/2019

  3. Dear CEO Letter: FCA expectations of principal firms in the investment management sector [pdf]

    Dear CEO letters

    Published: 20/05/2019

    Dear CEO letter on FCA expectations of principal firms in the investment management sector.

  4. Review of principal firms in the investment management sector

    Multi-firm reviews

    Published: 20/05/2019

    Last modified: 26/09/2025

    We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are.

  5. Final Notice 2019: Richard Irwin [pdf]

    Final notices

    Published: 17/05/2019

    This final notice (Richard Irwin) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  6. Final Notice 2019: Steven Hall [pdf]

    Final notices

    Published: 17/05/2019

    This final notice (Steven Hall) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  7. Final Notice 2019: Philip Harold Woods [pdf]

    Final notices

    Published: 17/05/2019

    This final notice (Philip Harold Woods) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a cancellation.

  8. Final Notice 2019: Total Network Solutions (Europe) Limited [pdf]

    Final notices

    Published: 17/05/2019

    This final notice (Total Network Solutions (Europe) Limited) refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the consumer credit sector. We imposed a

  9. Final Notice 2019: Freddy David [pdf]

    Final notices

    Published: 15/05/2019

    This final notice refers to breaches of FIT related to financial crime (Freddy David), client money/assets and a lack of fitness and propriety in the investment adviser sector. We imposed a prohibition.

  10. Decision Notice: Aiden Henderson (Director of HCA) [pdf]

    Decision notices

    Published: 09/05/2019

    This decision notice (Aiden Henderson (Director of HCA)) refers to breaches of APER 1 and FIT related to a lack of fitness/propriety, mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. Our view is that
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