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Final Notice 2022: William Mark Tristan Freer [pdf]
This Final Notice (William Mark Tristan Freer) 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. We imposed a prohibition -
Final Notice 2022: Henderson Carter Associates Limited [pdf]
This Final Notice (Henderson Carter Associates Limited) refers to breaches of PRIN 1 and Section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a public censure. -
Final Notice 2022: Bank House Investment Management Limited [pdf]
This Final Notice (Bank House Investment Management Limited) refers to breaches of PRIN 1 and section 20 FSMA related to mis-selling and failing to be open and co-operative in the investment adviser and pensions sector. We imposed a financial penalty -
Data on lifetime mortgages sales 2021 and 2022 by gross interest - May 2022
The FCA provides data for ifetime mortgages sales 2021 and 2022 by gross interest. -
Final Notice 2022: Applicant A [pdf]
This final notice refers to a failure to satisfy threshold conditions (COND) in the wholesale sector. We refused the firm’s application for authorisation. -
CP22/09: Expansion of the Dormant Assets scheme [pdf]
We are proposing amendments to our rules and guidance to enable insurance, pension and securities firms to contribute dormant assets to an expanded scheme. -
Stephen Braviner Roman allowances and expenses: April 2021 - March 2022 [pdf]
Summary of allowances and expenses claimed by Stephen Braviner Roman, including hospitality given outside the FCA. -
Hospitality and gifts log, January – March 2022 [pdf]
Hospitality and gifts received by the FCA’s Chairman, Executive Members of the FCA Board, Executive Committee Members and Non-Executive Directors. -
Sarah Pritchard, diary engagements, January – March 2022 [pdf]
External meetings (excludes meetings with regulated firms). -
Charles Randell, diary engagements, January – March 2022 [pdf]
External meetings (excludes meetings with regulated firms).