Please provide data for each quarter from 2017 to present, up to and including Q1 2018. FOI5424 FOI5424 - information provided December 2017. As it stands currently, only indos Financial and Northern Trust have been granted permission as of How many variation of Permission (VoP) form for depositaries of AIF(s) are outstanding as of this date? By taken away I mean has had permissions withdrawn by the FCA. The number of criminal investigations opened by the FCA in each year since February 2014 into breaches of anti-money laundering rules by regulated bodies or firms other than the Money Laundering Regulations 20, and the number closed. On how many occasions in each of the past five years has the FCA applied for criminal to serve a default sentence for non-payment of the interest owed on an unpaid confiscation order? A breakdown of the types of investigations launched, using whichever categories are used internally. Failed to return as I understand it, their statutory returns under the said Government Act and the name of the Chief Executive who was responsible for non-prosecution, in each year. As a consequence of their assistance rendered pursuant to their guilty pleas referred to in point 3 above please confirm what discount or reduction of sentence was awarded to the defendant by the court?
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Please can you provide the information for 2007, 2008, 2009, 2010, 2011, 2012, 2013, 2014, 2015, 2016, 2017 FOI55 I am seeking information on responses to the questionnaire on defined benefit pension transfer business sent out to up to 50 regulated firms in December (attached). FOI5430 FOI5430 - information provided December 2017 A list of all the FCA-authorised Payment Institutions, authorised or registered Small Payment Institutions, and authorised E-Money Institutions. In the last five years how many times have Lloyds, Bank of Scotland plc, Birmingham Midshires been censured for any reason. Examples of the short titles of these Requirements are: Small Authorised UK aifm May control but not hold client money No cbtl business unless registered Not permitted to canvass off trade premises Corporate finance business only bipru firm MiFID. 4) Has the FSA ever received a call/email about the mis-selling of PPI to its whistleblower service? See also Volume 1 Part II paragraph.2.8.
Would it be possible to have these data for the years? FOI5450 December 2017 The cost of investigations that had an outcome of 'no action to the FCA. How many individual criminal investigations for insider dealing have been closed with no public outcome? What is the number of FSA staff solely deployed on the maintenance / upkeep of the Register? FOI3288 December 2013 How many calls/emails/letters has the FSA/FCA Whistleblowing Desk received in the following financial years 2008-9, 2009-10, 2010-11, 2011-12, 2012-13 and the 2013-14 financial year so far? Original request: For all UK applicants to the FCA who wish to acquire a Payment Institution License - API (authorised payment institution ) or SPI (small payment institution ) money transfer (remittance) Businesses:.1) The number. Find out how to contact your local Chamber of Commerce on the British Chambers of Commerce website.
The total number of inward and outward trade strategy APIs in that year? Factor movements of K and L are restricted. Original request: Three requests aggregated together How many investment platforms have FCA been in contact with over 're-platforming' projects -.k.a major technological upgrades or change of technology provider. The fastest-growing multinational corporations (MNCs) today are no longer those that are based in developed countries, particularly since the start of the financial crisis that began in 2008. FOI45vice suitability review: I am seeking information on the FCAs current review of financial advice suitability. 2) Please supply copies of all current codes of practice issued by the Financial Conduct Authority for businesses engaged in the recovery of consumer credit debts. This is a follow-up to FOI3739 for the following information: 1) I would like to know the number of Private Warnings the FCA has issued to regulated firms 2) Could I have the data for the last. Can I have this answer broken down by country. Inward bounce and outward bounce. In particular did the FSA consider the statement that "Your capital is only at risk if the ftse 100 Index or Dow Jones euro stoxx 50 fall by more than 50 from the Starting Index Levels" in relation. FOI6090 December 2018 How many cass audit opinions were received by the Financial Conduct Authority between 1st November 2016 and 31st December 2016?
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In the last five years have you investigated, Lloyds, the Bank of Scotland, Birmingham Midshires for failing to keep adequate records. A list of all firms that fall under the mifid directive. From what I understand this isnt published in the product sales data. Under the foia, I would like to know how many businesses, per subsector as defined by the FCA, are currently registered with the FCA. Exhibition/Trade Fair support, we provide comprehensive trade fair support, including stand/booth support and staffing and pre-event appointment setting with potential target customers, suppliers, distributors and partners. How many Control Function 11 /Senior Management Function 17 Holders are men? FOI5296 September 2017 I just have a follow-up question on this FOI request (FOI5187) I am just looking at the approved persons under the SMR number in the table below (1328 and I wondered how many companies are included in this category? Also can I just confirm the date range for the. How long following an onsite visit does the FCA typically take to reach a final assessment of a firms compliance with the Money Laundering Regulations?
Amount of fees/costs recovered from requests for documentation for the following:. For example where the firm or individual would no longer be authorised by the FSA? The total number of approved persons currently registered with the FCA. . Any other data on the trend in brokers getting ready for the changes would be greatly appreciated, but those statistics in particular would be interesting. Of these, how many applications where granted and how many were declined during the financial year to date? This information inward and outward trade strategy was provided to the committee by the Financial Conduct Authority, and I would like to submit a freedom of information request to obtain more information on the data presented in this table. FOI5590 FOI5590 - information provided March 2018 In 2016 how many FCA regulated firms that have permission to offer financial advice have voluntarily agreed with the FCA to an asset restriction sale, so they could not sell.
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FOI45 Could you please supply me with information relating to the cost of the Libor investigations that led to fines on banks between 20Specifically Im looking for Total costs of the Libor investigations by the Financial Conduct Authority (and its predecessor the Financial Services Authority). FOI35 I would like to know how many financial promotions were withdrawn or amended as a result of FCA intervention from July 2013 to June 2014 Please provide the breakdown on a monthly basis. Simon Hamilton said: Competing globally isn't just about making Northern Ireland an attractive destination for investment. The Asian Tigers faced lower trade barriers on their X of manufactures to DCs. The report to be provided in either.xls.pdf format, FOI3855 February 2015 FCA staff / FX investigation: I should be grateful if you would provide the following details in relation to the Foreign Exchange (FX) investigation:. . Of these firms how many applications have been determined so far. FOI48ow many firms authorized by the Cyprus Securities and Exchanges Commission (cysec) received FCA approval to trade in the.K. So far during 2018, how many financial advisers have been found to be not complying with FCA regulations? If this is not possible, please provide the information broken down by quarter with the most recent year end date that you have available. FOI4139 FOI4139 information provided August 2015 Please send me answers to the following questions: How much did the FCA spend on external investigators in 2014 to 2015?
FOI30 I would be grateful if you could disclose, in connection with RBS, Lloyds TSB, Northern Rock, and Bradford Bingley: Details of insurance company/ies (the one that covers against possible claims for negligence against RBS and its staff) since. Following the implementation of the European Union Services Directive (eusd) in 28 December 2009, an applicant would be informed of a GDD once an application was deemed to be complete." Information on all of the above would be appreciated Clarification. Our companies produce high quality goods that can compete with the best anywhere in the world. Duty relief is no longer available if stored goods imported for use on drilling platforms are used in land-based activities. Just to be clear, I am not requesting details of or specific information about any open investigations that the FCA inward and outward trade strategy has, just the number of enforcement investigations that the FCA has opened into Senior Managers or Certified Persons.
A market-led strategy with no gov intervention (Washington consensus) does not take into account the particular situation of LDCs. A general description of the categories of persons these investigations concern. The number of firms who had submitted their advice registers and online survey responses at the date this request is answered. FOI46IPP - New capital adequacy requirements. If it looks like the work involved with responding to this FOI is going to exceed the time permitted under the foia, or you need clarification, then please contact.