Publications
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Hospitality and Gifts Log - January to March 2019 [pdf]
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Hospitality and Gifts Log - July to September 2018 [pdf]
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Andrew Bailey – Chief Executive: External, Board & Executive Committee Meetings for Jan - Mar 2019 [pdf]
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Charles Randell - Chairman, External, Board & Executive Committee Meetings for Jan to Mar 2019 [pdf]
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Chris Woolard – Director of Strategy and Competition: External, Board & Executive Committee Meetings for 1 Jan – 31 Mar 2019 [pdf]
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Dear CEO Letter: FCA expectations of principal firms in the investment management sector [pdf]
Dear CEO letter on FCA expectations of principal firms in the investment management sector. -
Review of principal firms in the investment management sector
We have reviewed how asset managers calculate and disclose transaction costs and how effective overall cost disclosures are. -
Final Notice 2019: Richard Irwin [pdf]
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. -
Final Notice 2019: Steven Hall [pdf]
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. -
Final Notice 2019: Philip Harold Woods [pdf]
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.