Overseas and local Regulators can use this form to request a letter of Goodstanding for authorised/registered Firms and Individuals we regulate.
Please note: A separate form must be submitted for each firm/individual requiring a letter of Goodstanding.
Who can request a letter of Goodstanding
Letters of Goodstanding can be requested by overseas regulators and regulatory bodies. If you are a firm or an individual, you may be able to make a request via your regulatory body.
Letters of Goodstanding may contain confidential information that can only be provided to a regulator and must not be disclosed to any third party.
| A Goodstanding letter for overseas regulators may contain the following information: | |
|---|---|
| Regarding individuals | Regarding firms |
|
Whether an individual was or is approved by us. Whether we have ever disciplined the individual. Whether we have adverse information on the individual Details of the Approved/Directory Person or Controlled function held by the individual. |
Whether the firm was or is authorised and regulated by us. The permissions held by the firm. Whether we hold any relevant adverse information. Whether we are aware of any complaints against the firm. Whether the firm has been subject to censure, criticism, or disciplinary proceedings by us. |
Before making your request
Check if the firm or individual is authorised, registered, or approved by the FCA
We primarily provide Goodstanding responses for firms or individuals who are Authorised, Registered or Approved by the FCA, as of the date the request is submitted.
If a firm or individual is no longer, or has never been authorised, registered, or approved by us, we are only able to refer to the dates in which they were authorised/registered.
Please review the Financial Services Register[1] to confirm their authorisation before submitting your request. Find out more about how to use the FS Register[2].
Please note that controllers and persons responsible for payment services/e-money are not on the FS Register. See section 422 of FSMA[3] for the full definition of 'controller'.
Check if we have published a notice
Notices may be published where we have taken formal action against a firm or individual (for example, to prohibit them from being authorised or cancelling permissions).
Please note that we do not publish all notices in all instances and information may be provided where possible as part of the Goodstanding letter.
Search the notices we have published on our website[4].
Submit a request
Before submitting your request, please check the following:
- Whether the Firm/Individual is currently authorised/registered by the FCA (Check using the FS Register[5]).
- You have only included one Firm/Individual per request, otherwise it will be rejected.
- You have included the FRN (Firm) or the IRN (Individual), on your form, which can be found on the FS Register.
We note that this form may contain confidential information. For this reason, we will keep its contents confidential and will not disclose information contained within it to any third parties without obtaining your prior written consent.
Where we can provide Goodstanding letters, they will contain information subject to professional secrecy or confidentiality. The letters must not be disclosed to any third parties without our prior written consent.