2014 Disclosure Log

December 2014

Applications to be authorised and registered from Investment Management Firms for 2013 and 2014.

How many applications has the FCA received to be authorised and registered by the FCA from investment management firms since January 2014-to date? Can I also have the figures for the 2013?

FOI3800

December 2014

I am interested in finding out the number of Skilled Person Review reports (S166 reports) that have been issued by the FCA which have not led to enforcement activity.

If possible, please provide the information broken down by quarter for the last two years with a year end of September 30th.

If it looks like the work involved in responding to this FOI is going to exceed the time permitted under the FOIA then please contact me as soon as possible to discuss how I can reduce the scope of this request.

FOI3789

December 2014

FCA Consultation paper on fees and levies (CP 13/14):
We would therefore like to make a Freedom of Information request for the following information:

1. Details and copies of the impact assessments (and/or any other analysis of the possible financial impact on firms in A12 and A13) carried out since this issue was identified, as set out in the 2010 consultation paper CP10/24;
2. Details and copies of any further impact assessments (and/or any other analysis of the possible financial impact on firms in A12 and A13) carried out before, during or after the consultation on the change in 2013 set out in consultation paper CP13/14;
3. Minutes or notes of any FSA/FCA meetings where this issue was discussed during the period, including (but not limited to) any meeting(s) at which it was decided that a consultation on, or implementation of, the changes to the fee blocks should be delayed beyond the original timescale i.e. 2012/13.

We should be grateful for any further information held which would assist in answering this question.

FOI3785

FOI3785 information provided

December 2014

Would it be possible to have a similar break down, by quarter, of the private warnings issued to individuals?

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 three years (2012, 2013, and as much of 2014 as possible) broken down by month, or if that is not possible by quarter, or if that is not possible by year?
3) If possible with the time limit, could the data be additionally broken down by the type of firm the Private Warning was issued to, as listed on the FCA website (Consumer credit; Mutual societies; Banks; Financial adviser; Investment managers and stockbrokers; Insurers; Building societies; Wholesale investment firms; Sole advisers; Insurance intermediaries; E-Money institutions; Mortgage brokers and home finance lenders; Payment services institutions; Asset management; Fund Authorisation and Supervision; Innovator businesses: Project Innovate) or other sector categorisation?’

FOI3780

December 2014

Advisors / senior advisors ("grey panthers"):

Please provide the following details in relation to advisors and senior advisors (previously known as “grey panthers”) employed by the FCA to advise in relation to the Foreign Exchange (“FX”) investigation:

1. The number of advisors / senior advisors (“FX Advisors”) employed (or otherwise retained or engaged) by the FCA to provide expert opinions and advice;
2. A generic description of the qualifications and experience of each Advisor (for example: “academic”, “former trader at a bank”, “former buy-side professional”;
3. Details of how FX Advisors are paid, the remuneration received by each FX Advisor, and the total expenditure to date on such advisors; and
4. The length of time each Advisor has been employed (or otherwise retained or engaged) by the FCA.

FOI3779

FOI3779 information provided

December 2014

FCA Imposed Fines:

The total amount of FCA imposed fines levied so far in 2014, according to the FCA website today stands at £1,471,431,800. I would be grateful if you could confirm the following:

• How much of the above figure has been paid away to the Treasury in 2014 for so called ‘good causes’ use?
• On what or whose authority was this ‘pay-away’ made possible
• When was that decided?
• Was the original intention of cost reduction made clear to the Treasury before the decision to ‘pay-away’?
• Was any attempt made to persuade the Treasury that fines should really be used to offset the regulatory cost burden on firms?
• What was the budgeted cost of regulation to date in 2014?
• What is the actual cost so far for regulation in 2014?
• How much of the above figure has been paid away to the Treasury in 2014 for so called ‘good causes’ use?
• On what or whose authority was this ‘pay-away’ made possible
• When was that decided?
• Was the original intention of cost reduction made clear to the Treasury before the decision to ‘pay-away’?
• Was any attempt made to persuade the Treasury that fines should really be used to offset the regulatory cost burden on firms?
• What was the budgeted cost of regulation to date in 2014?
• What is the actual cost so far for regulation in 2014?
• How much of the above figure has been paid away to the Treasury in 2014 for so called ‘good causes’ use?
• On what or whose authority was this ‘pay-away’ made possible
• When was that decided?
• Was the original intention of cost reduction made clear to the Treasury before the decision to ‘pay-away’?
• Was any attempt made to persuade the Treasury that fines should really be used to offset the regulatory cost burden on firms?
• What was the budgeted cost of regulation to date in 2014?
• What is the actual cost so far for regulation in 2014?

FOI3765

FOI3765 information provided

December 2014

I please request the following information related to whistleblowing:

• The number of contacts received by the whistleblowing team, for each month from November 2013 to October 2014 inclusive
• The number of new cases, in which actionable whistleblowing derived intelligence was disseminated to departments within the FCA and other regulators and law enforcement agencies, for each month from November 2013 to October 2014 inclusive
• The number of new cases that have resulted in the imposition of penalties against a company or an individual since November 2013 to October 2014 inclusive, broken down by the month the case was created
• The number of cases created by subject (e.g. fitness and propriety, market manipulation) for each month from November 2013 to October 2014 inclusive

FOI3763

November 2014

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 three years (2012, 2013, and as much of 2014 as possible) broken down by month, or if that is not possible by quarter, or if that is not possible by year?
3. If possible with the time limit, could the data be additionally broken down by the type of firm the Private Warning was issued to, as listed on the FCA website (Consumer credit; Mutual societies; Banks; Financial adviser; Investment managers and stockbrokers; Insurers; Building societies; Wholesale investment firms; Sole advisers; Insurance intermediaries; E-Money institutions; Mortgage brokers and home finance lenders; Payment services institutions; Asset management; Fund Authorisation and Supervision; Innovator businesses: Project Innovate) or other sector categorisation?

FOI3739

November 2014

How is the FCA allocating its resources for the compilation of Annex IV reports required under the AIFMD;

1. What was the cost of implementing the Gabriel submission tool?
2. How many people will be employed to work on Annex IV submissions?
3. What is the estimated total cost to the FCA for the Annex IV reporting process?

FOI3734

November 2014

Applications to be advisers under the RDR rules.

• How many applications has the FCA received for candidates wishing to be advisers under the RDR rules (who are only allowed to advise on retail investment products) since April 2014? Can I also have the figures for the year ending in April 2014? And year ending in April 2013?
• How many of the above applications have the FCA declined? Again if I could have the figures since April 2014, for the year ending in April 2014 and the year ending in April 2013?
• If possible, can I receive a breakdown why the applications have be rejected or refused? Again for each of the time periods above.
• What is the total number of financial advisers in the UK, who fall under the RDR rules? How many firms?

FOI3724

November 2014

Could you please tell me how many staff work within the Project Innovate team, and of these how many are newly recruited to the FCA and how many have been moved from elsewhere in the FCA?

Could you also please tell me how much money has been spent on Project Innovate so far, including staff costs, and what the costs for the project are expected to be on an ongoing basis?

FOI3723

November 2014

Please let me have the following information in relation to your work with the Behavioural Insights Team (BIT):

• a list of contracts awarded to the BIT showing the nature of the services provided
• the approximate value of each contract
• payments in each financial year to date under each contract
• total payments to the BIT each year if different to the sum of the amounts above
• information on how each contract was awarded including where it was advertised

FOI3722

November 2014

Could you please tell me the average length of time the FCA has taken from arresting to charging individuals for insider trading for those charged in the years 2008, 2009, 2010, 2011, 2012, 2013, and 2014 (with the numbers broken out separately for each year)?

FOI3715

November 2014

I would like to know the number of whistle-blowers who have contacted the FCA in the period 1 November 2013 to 30 September 2014. I believe you provided similar information for the year up to October 31 2013 late last year and I was going to ask for the same.

FOI3695

November 2014

details=Subject matter: prosecutions

Business area/division: probably enforcement
Relevant dates - 2009 to 2013 inclusive

For each of the calendar years 2009 to 2013 inclusive, broken down by size of firm (I would suggest 0-10 employees, 11 to 50, 50-1000, 1000+), how many prosecutions has the FSA/FCA brought for alleged offences under FSMA, and how many convictions has it obtained?

FOI3682

November 2014

Request clarified to:

I am aware that in the recent European case of Kasler v OTP, it was stated that the national courts can substitute the terms of a loan repayable in foreign currency, if it is proved to be unfair because of lack of explanation of the complexities of the exchange rates.

I would like information on the number of complaints the FCA has received from consumers regarding foreign currency loans/mortgages, as well as their outcome (namely were the terms considered by the FCA to be unfair or not, and was any complaint forwarded to the courts). [Time frame is from February 2014 (when EU decision handed down)].

FOI3673

November 2014

Clarification received on 21/10/2014:

Dear Freedom of Information,

• By “received and not processed” do you mean applications which have a status other than issued, as at close on 31 March 2014? You may like to be aware applications received by OFT can have one of five statuses:
  • Open – no outcome reached by close on 31 March 2014
  • Issued – the application was granted
  • Withdrawn – the applicant withdrew their application
  • Made of no effect – the applicant did not respond to a request for information within a statutory deadline
  • Refused – the application was formally refused following adjudication and any appeals.
• By “not processed in time” do you mean applications for which an outcome was not reached by close on 31 March 2014 or do you mean applications which had not reached an outcome before the associated Guaranteed Decision Date (GDD)? 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 received on 01/09/2014:

by "lost" I mean, not processed in time, misplaced, received and not processed or cannot be recovered

Original request:
Two similar requests received  by email from requestor on similar topic and so amalgamated requests:

1. Could you please tell me how many applications for trading of any kind the OFT received in 2010 and how many successful and unsuccessful applications it processed.
2. Could you tell me how many applications the OFT lost between the years of 2009 and 2013 please.

FOI3609

October 2014

I am interested in how many dawn raids the FCA has conducted. By 'dawn raids' I mean searches of businesses' and individuals' premises by the FCA under warrant and in the presence of a police officer. 

On a quarter by quarter basis, how many dawn raids did the FCA carried out in Q1, Q2 and Q3 of 2014?  If the data is not available in a quarterly data, please provide it in whatever form it exists.

FOI3681

October 2014

Please supply in aggregate the number of private warnings issued to individuals by the FCA in 2014 to date.

Please also supply, by way of comparison the number of private warnings issued byte FCA (of FSA if appropriate) in each year to 2009 inclusive.

Out of the total number of private warnings, please supply a break-down of how many pertained to the investigation of the alleged manipulation of LIBOR and other benchmark rates

FOI3646

October 2014

I would like to know the following:

1. How many reports of insider trading were raised to the FCA or FSA each year since 1980?
2. How many convictions of insider trading have there been each year since 1980?
3. How many convictions have there been regarding insider trading since 1st April 2013?

Please break down questions 1 and 2 by year.

I appreciate that your records might not go back as far as 1980, or it might be unfeasible to dig them out - if that's the case, please just go back as far as you can.

FOI3644

October 2014

I am requesting information under the FOI Act on bank fines levied by the FCA since it replaced the FSA.

For each fine levied, please detail:

1. The total fine agreed
2. Which bank was fined
3. The reason a fine was levied
4. The exact date(s) the fine was to be paid
5. The amount paid to date (and, where applicable, the exact date at which each payment was made)
6. Where applicable, the reason for the fine not being paid (in part or in full)

FOI3633

October 2014

Listed shares / futures on the FTSE 100:

I hereby request to be informed in writing by you whether you hold certain information pursuant to sub section 1(1)(a) of the Act.  The information in question is:

1. Records of any relevant transactions on any exchange in the United Kingdom including:
   1. the information relating to such transactions comprised in such records;
   2. the dates for which such records are held (i.e. for what period records are kept for such transactions);
   3. the exchanges in respect of which such records are held; and
   4. whether the records contain any personal data; and
2. Information regarding any other public authority (within the meaning the meaning of section 3 of the Act) which may hold the information requested at paragraph 1 above.

The 'relevant transactions' referred to at paragraph 1 above are:

1. listed shares; and
2. listed futures on the FTSE 100.

The reference to 'listed' above includes securities both listed on the UKLA's Official List and not listed on the UKLA's Official List.

FOI3630

October 2014

How much has the FCA set aside for the cost of its review into the failure of HBOS? Of this, how much has been set aside to provide legal advice to staff members involved in the review?

FOI3629

October 2014

In relation to licensing non-exempt credit brokers and lenders, the Financial Conduct Authority grants either interim permission or full authorisation under the Consumer Credit Act.

One of the stipulations in the licensing process is for the applicant to be "fit and proper."

Regarding this, will you please provide me with the following information:

1. What are the exact requirements that an applicant must fulfil in order to be deemed fit and proper for licensing as a credit broker or a lender?
2. How many applicants for interim permission or full authorisation to provide consumer credit lending and brokerage have you had in total since taking over this task from the Office of Fair Trading at the beginning of this year up till the present day?
3. How many of the applications mentioned in point four have been rejected

FOI3623

September 2014

For information relating to the number of arrests that were made for insider dealing between 2008 to 2014.Could also include the names that the arrests relate to so that I know who has been included.

FOI3625

September 2014

1. Was Tony Hetherington (Mail On Sunday Journalist) employed by the FSA/FCA at any time during the period from 30th of June 2003 until August 22nd 2011?  How much money was he paid by the FSA/FCA during this period?
2. Was the firm Grant Thornton UK LLP employed by the FSA/FCA at any time during the period from 30th of June 2003 until August 22nd 2011?  What was it employed to do?  How much money was it paid by the FSA/FCA during this period?

FOI3624

September 2014

What is the standard procedure you follow in order to obtain a search warrant and what was the standard procedure the OFT/Trading standards followed in order to obtain a search warrant?

FOI3617

September 2014

1. Could you please tell me how many notification forms the FCA has received to-date from non-EEA AIFMs to apply to market into the UK via the AIFMD National Private Placement Regime?
2. How many are applying using the Article 42 form and how many using the Small Third Country form?

FOI3611

September 2014

Enquiring whether information is held or request to be held in relation to the underlying ownership of a special purpose vehicle.

"Commission Delegated Regulation (EU) No 826/2012 of 29 June 2012 supplementing Regulation EU No 236/2012 of the European Parliament and of the Council with regard to regulatory technical standards on notification and disclosure requirements with regard to net short positions, the details of the information to be provided to the European Securities and Markets Authority in relation to net short positions and the method for calculating turnover to determine exempted shares".

1. NOTIFICATION - please refer to Annex 1, Table 1, Field Identifier 1 of the above. Please state:
   1. whether, in respect of legal persons, the full name of the notifying entity including legal form as provided for in the register where it is incorporated, if applicable, has been notified to the FCA in relation to short position declarations by Roble S.L.
   2. where the notified full name as above is Roble S.L.
   3. if not exclusively notified as Roble S.L, the full notified name including legal form as provided for in the register where it is incorporated.
2. PUBLIC DISCLOSURE - please refer to Annex 1, Table 2, Field identifier 1 of the above. Please state:
   1. whether, in respect of legal persons, the full name of the notifying entity including legal form as provided for in the register where it is incorporated, if applicable, is liable to be disclosed by the FCA in relation to short position declarations under the name of Roble S.L.
   2. if so, the full disclosable name as required by (a) above.
3. Does the FCA hold on file any information relating to the underlying ownership of Roble S.L?

FOI3605

September 2014

Please could you provide me with information for each postcode area in the UK

• Total number of loans for residential house purchases
• Total number of loans for residential house purchases for first time buyers
• Total number of loans for residential house purchases for first time buyers that are at 90 to 95% LTV
• Total number of loans for residential house purchases for first time buyers that are at 95% LTV or higher
• Total number of loans for residential house purchases for all buyers that are at 90 to 95% LTV
• Total number of loans for residential house purchases for all buyers that are at 95% LTV or higher
• Total number of loans for residential house purchases for first time buyers that are at high income multiples (3.5 times for a single applicant or 2.75 got a joint application)
• Total number of loans for residential house purchases for all buyers that are at high income multiples (3.5 times for a single applicant or 2.75 got a joint application)
• Total number of loans for residential house purchases for first time buyers that are at high income multiples (3.5 times for a single applicant or 2.75 got a joint application) and at 90% or higher LTV
• Total number of loans for residential house purchases for all buyers that are at high income multiples (3.5 times for a single applicant or 2.75 got a joint application) and at 90% or higher LTV

Please could you provide the information as of the end of Q4 for each year from 2005 to 2013, if possible.

FOI3597

FOI3597 information provided

August 2014

Requesting a list of all COREP firms.

Further to the email below can you advise me whether you are able to action the COREP portion of the request?

FOI3590

 FOI3590 information provided

August 2014

However, looking at the FCA Annual Report it is no longer published. The data points that we would like to use are: the overall number of firms authorised to write general (non-life) and long-term (life) insurance in the UK. Within this number we are also keen to have the number of firms who passport in under the European 3rd Non-Life Directive and 3rd Life Directives respectively. In 2012 there were 976 firms authorised to write non-life in the UK and 285 for life (including compound businesses where both are sold). 548 and 176 passported in respectively.

FOI3580

August 2014

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

1. Please provide the breakdown on a monthly basis.
2. If possible could you create separate lists for withdrawn and then for amended.

If not possible for all of July 2013 to June 2014 please include all that is available.

FOI3568

FOI3568 information provided

August 2014

I would simply like to be given the names of the companies recently awarded or currently being considered for banking licences.

FOI3566

August 2014

Average length of time of all types of criminal cases:

Please could you let me know the average length of time of all types of criminal cases (in months) for the financial year 2011-12 and 2012-13.  The figure should be comparative to the number provided on page 20 in your 2013-14 annual report.

FOI3565

August 2014

1. You say that you do track the number of attestations for C1 and C2 firms. Of the 186 attestations obtained from individuals at C1 and C2 firms so far, could you please confirm:

(1) How many were issued in 2012
(2) How many were issued in 2013, and

(3) How many have been issued in 2014 to date?

It may help you to know that the purpose of my request is to see whether, and if so to what extent, there has been a marked increase in the use of attestations from 2012 onwards.

2. Could you please define "open issues"?

3. In relation to my original request (c), would it assist if I rephrased it in the following way?

Again,

(1) For 2012

(2) For 2013, and

(3) For 2014,how many investigations or enforcement actions against authorised persons working at C1 or C2 firms were investigations or enforcement actions in respect of which the authorised person had previously provided the FCA with an attestation.

FOI3562

August 2014

Could you please tell me how many depositaries have applied to be licensed via the Variation of Permission (VoP) form for depositaries of AIF(s).

As it stands currently, only INDOS Financial and Northern Trust have been granted permission as of 4 July 2014. How many variation of Permission (VoP) form for depositaries of AIF(s) are outstanding as of this date?

FOI3558

July 2014

How many Financial Advisors is the FCA investigating for enforcement actions?

How many financial adviser firms or individuals is the FCA investigating for enforcement action?

Of these, how many are mortgage brokers?

What areas does each enforcement action relate to ie. systems and controls, treating customers fairly, mortgage fraud.

FOI3544

July 2014

Number of arrests made by FSA/FCA for insider dealing from 2008 to 2014. Figures broken down yearly.

Please could you send me the number of arrests that have been made by the FSA/FCA for insider dealing each year from 2008 to 2014. Please provide the individual number for each year. I believe this would have been dealt with by your enforcement division.

Clarified as:

Yes I did mean "How many people have been arrested on behalf of the FCA/FSA?". As mentioned previously, could you please provide an individual number for each year from 2008 to 2014.

FOI3519

June 2014

I am requesting information under the FOI Act on the FCA's appointment of FTI Consulting for "communications support".

Please state how much the FCA has budgeted for this support.

FOI3473

June 2014

1. What are the total costs to the Crown and/or Financial Conduct Authority, to date, of the 'Operation Cotton' T20137183 case (on which "the Crown alleges that between 2008 and 2011 the defendants were involved in a land banking scheme using, variously, three limited companies." - Judge Leonard QC, ruling for a stay, 1st May)
2. If the Crown have chosen to appeal this ruling by Judge Leonard QC, do you have estimated costs to the Financial Conduct Authority and / or the Crown of that appeal?  If so please disclose them being clear on what this estimated cost would cover.

FOI3446

June 2014

I am following up this FOI request on behalf of Simon. In response to your questions stated below:

1. We are interested in section 4.02 - the free text section, do you record this information, if so we would like to know:
   1. Do you categorise the responses you receive in box 4.02 on the notification to cease a controlled function form?
   2. The criteria you use to categorise the responses you receive in box 4.02 on the notification to cease a controlled function form
   3. The list of categories you use internally that is created from the comments in box 4.02 on the notification to cease a controlled function form
   4. How many responses have been categorised into each group?
2. Alternatively should this information not be recorded then we are interested in section 3.01 and would like to know:
   1. Do you categorise the responses you receive in box 3.01 on the notification to cease a controlled function form?
   2. The criteria you use to categorise the responses you receive in box 3.01 on the notification to cease a controlled function form
   3. The list of categories you use internally that is created from the comments in box 3.01 on the notification to cease a controlled function form
   4. How many responses have been categorised into each group?

FOI3426

FOI3426 information provided

May 2014

1. How much has been spent so far on the Simon Davis inquiry into information leaked to the Telegraph newspaper about an investigation into pensions, endowments, investment bonds and life insurance?
2. How much has been set aside to complete the inquiry?

FOI3463

May 2014

Consumer Credit Query

1. Can you please advise how many letter have you sent to the firms operating in the following Consumer Credit Sectors asking them to rectify their online marketing and websites due to concerns regarding Non-Compliance with CONC:
   1. Lenders
   2. Credit Brokers
   3. Debt Management Companies
   4. Payday Loans
2. Can you please confirm, for the same companies, how many non-compliance letters were sent as a results of Google Sponsored Links.
3. How many letters were sent as a result of third party complaints.
4. How many responses have you received from these companies stating they have made necessary changes to the online marketing and Google Sponsored links as a result of your letter.

Can you please provide this information from 1st of April 2014 to date.

FOI3451

May 2014

SIPP Product Sales Data for each quarter: 2007 Q1 to 2014 Q1, showing

Total number of sales
Number of providers
Percentage of total sales by top 5 SIPP providers

FOI3435

FOI3435 information provided

May 2014

Is the following interpretation of the Consumer Credit Act correct?

‘Licensed lenders have a clear duty to supply borrowers the information they need to manage their loan under section 78 of the Consumer Credit Act, which up until recently was regulated by the OFT.’

What did the OFT consider a reasonable time to allow lenders to respond to requests by borrowers for information under section 78?

What does the FCA consider a reasonable time to allow lenders to respond to requests by borrowers for information under section 78?

Did the OFT have any written guidelines for borrowers or lenders regarding the rights of borrowers under section 78?

Does the FCA have any written guidelines for borrowers or lenders regarding the rights of borrowers under section 78?

Please supply copies of these guidelines if they exist.

FOI3422

May 2014

1. How many raids has the FCA carried out in the past year (April 1st 2013 to date)      using the powers it does have?
2. How many in each of the three preceding years:
   April 1st 2012 to March 31st 2013
   April 1st 2011 to March 31st 2012
   April 1st 2010 to March 31st 2011

FOI3420

May 2014

“Please tell me the number of not-profit debt advice and debt adjustment agencies registered with interim permissions as at 1st April.”

On 10 April you clarified your request as follows:

“In essence, I would like to know how many charities/agencies offering free debt advice had an OFT license (or were including in things like the AdviceUK 'Group Debt License') and of these, how many had got Interim Permission as at 1st April OR had got full permission as at 1st April.  I suspect that a number of these agencies have slipped through the net, and might be inadvertently working without a licence/permission at present.”

FOI3403

April 2014

Whistleblowing Stats

1. How many calls/emails/letters has the FCA "Whistleblowing Desk" received in the following financial year 2013-14?
2. A breakdown of the whistleblowing incidents progressed by case type for the financial year 2013/14?

FOI3398

April 2014

Civil confiscation / recovery orders:

1. How many civil confiscation/recovery orders have been obtained by the Financial Conduct Authority* in each of the past three financial years
2. How many criminal confiscation orders (i.e post-conviction) have been obtained by the FCA enforcement division in each of the past three years
3. How many asset freezing orders have been obtained by the FCA in each of the past three years?
4. What was the total value of all confiscation orders brought by the FCA in the past three years?
5. How much of this has been recovered?
6. How much in total is outstanding on FCA confiscation orders?
7. What estimate has the FCA made of how much of this is realistically recoverable?
8. How much of the outstanding money on FCA confiscation orders is thought to be located overseas?
9. In the past three years, how much has the FCA written off from outstanding confiscation orders?
10. On how many occasions in each of the past three years has the FCA applied to court for a defendant to service a default sentence for failure to pay a confiscation order?
11. On how many in each of the past five years has a defendant failed to pay their confiscation order even after having served the default sentence?
12. 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?
13. In each of the past three years, which overseas jurisdictions (including Crown dependencies and overseas territories) have declined to enforce a) a civil confiscation order made at the request of the FCA; b) a criminal confiscation order made at the request of FCA; c) a freezing order made at the request of FCA?
14. Does the FCA receive any funds from the Home Office’s Asset Recovery Incentive Scheme; and what proportion was this of its budget?
15. In each of the past three years, how much has the FCA spent on asset recovery?

*(including its predecessor body, the FSA)

FOI3379

April 2014

1. How long FCA waited for after issuing CPP with a fine of 10.5 million pounds (Nov 2012) before they actually received these monies from CPP and
2. What was the process (was that a tender) to appoint Ernst & Young to produce the Explanatory Note and running the Redress Scheme (most claimants to include myself are not happy with the current operational procedures and when they were voting in the High Court did not know of the utterly inadequate call centres E&Y has set up to 'do the job')

FOI3365

April 2014

1. How many times has the FSA/FCA used the power to impose a suspension (on a firm or individual) to carry out a regulated activity pursuant to sections 66 and 206A of the Financial Services and Markets Act 2000 (as amended by the Financial Services Act 2012)?
   1. How long is the average suspension imposed?   
   2. How many of these suspensions were imposed on firms and how many on individuals?

We can confirm that there have been no suspensions issued in this time period.

2. How many times has the FSA/FCA used the power to impose restrictions (on a firm or individual) on activity pursuant to sections 66 and 206A of the Financial Services and Markets Act 2000 (as amended by the Financial Services Act 2012)?
   1. On average how long is activity restricted for?
   2. How many of these restrictions were imposed on firms and how many on individuals?

We can confirm that there have been no restrictions placed on a firm or individual in this time period.

3. How many times has the FSA/FCA used the power to impose financial penalties on individuals who perform controlled functions without approval, pursuant to section 63A of the Financial Services and Markets Act 2000 (as amended by the Financial Services Act 2012)?
   1. What is the total value of any financial penalties imposed?
   2. Of any fines issued how many are still outstanding and to what amount?

FOI3360

April 2014

I would like to know how many firms were invited to pitch for the position of premium finance partner for the regulator before Premium Finance [Premium Credit] was re-appointed in April 2013?

How often is the account re-tendered?

What remuneration does Premium Credit receive from the FCA for supplying the instalment fee payment service?

FOI3409

March 2014

The number of insider trading prosecutions between the 1st of January 1996 and the present date, the date of each prosecution, and the penalty given for each conviction.

FOI3347

March 2014

The number of investigations opened against individuals (between April 2012 to December 2013. Please provide a breakdown by quarter, or by month).

The value of financial penalties levied against individuals (between January 2010 to December 2013. Please provide a breakdown by quarter, or by month).

The number of individuals from whom approval has been withdrawn (between January 2010 to December 2013. Please provide a breakdown by quarter, or by month).

The number of individuals who have been served a prohibition order (between January 2010 to December 2013. Please provide a breakdown by quarter, or by month).

FOI3340

March 2014

As a continuation of FOI3138, which I have attached, I would like a breakdown of figures for Suspicious Transaction Reports filed to the FCA from August 2013 up to and including January 2014, with figures broken down on a month by month basis:

1.    As in FOI3138 I would like the STRs subdivided by the following categories: misuse of info; false / misleading; and distortion / manipulation.

I would also like:

2.    A breakdown of figures for Suspicious Transaction Reports filed to the FCA since August 2013 up to and including January 2014, subdivided by the reasons for suspecting that the transactions(s) might constitute insider dealing / market manipulation, with figures broken down on an annual basis?

3.    If you are unable to provide (2) or then please provide a breakdown of figures for Suspicious Transaction Reports filed to the FCA for August 2013 up to and including January 2014 subdivided by capacity (eg broker, underwriter, agent etc) in which the person performing the transaction(s) acts with figures broken down on an annual basis.”

FOI3331

March 2014

How many county or high court orders has this PA a) applied for and b) been granted in the past 12 months ?

How many have been applied for concerning mySociety, www.whatdotheyknow.com, ukcod.org.uk or Bytemark Computer Consulting Ltd serving disclosure ?

FOI3325

March 2014

1. How many SIFs have been fined? And what proportion of SIFs does this represent?

2. How many SIFs have been censured? And what proportion of all SIFs does this represent?

FOI3317

February 2014

1. Please tell me how many variation of permission requests the FCA has received that relate to AIFMD.  
2. If possible please tell me when the applications were received on either a monthly or quarterly basis.
3. If possible, please also provide any estimates the FCA has made on how many variation of permission requests the FCA expects to receive in relation to AIFMD.

FOI3343

February 2014

Kevin Neal Associates Ltd. ceased trading and were taken over by Kevin Neal Wealth Management LLP; part of the permission to trade is that “The firm is required to abide by the deed poll and Declaration in relation to past business of the firm or by the past business of Kevin Neal Associates Limited for which the firm has accepted responsibility as regulated activities and investment business carried on by the firm”. Would it be possible for me to have a copy of that deed poll.

FOI3339

FOI3339 Information provided

February 2014

I am interested in the number of applications for a banking licence received by the FCA.

1. Please provide me with the number of banking licence applications received by the FCA. Please provide this information on a quarterly basis since January 1 2008.  If it is not possible to provide it on a quarterly basis, please provide it on an annual basis, to the year ending December 31.
   If you are unable to provide data for the last six years, could you please provide data for the last four years?
2. If it is possible, please also provide the number of applications for a variation of permissions by a bank because of a change in its ownership

FOI3332

February 2014

I’m interested in the number of SIF applications for which the FCA has decided to interview the candidate.

1. Since October 1 2008, on a quarterly basis if possible, how many SIF applications has the FSA decided to interview the candidate on competence and capability grounds?
2. Of those, again on a quarterly basis if possible within the time limit,
   • How many were approved?
   • How many withdrew their application? (if possible within the time limit, how many prior to interview and how many post interview?

Please provide this information on a quarterly basis since January 1 2008.  If it is not possible to provide it on a quarterly basis, please provide it on an annual basis, to the year ending of December 31.

If you are unable to provide data for the last six years, could you please provide data for the last four years.

FOI3329

FOI3319

FOI3319 Annex A

FOI3319 Information provided

February 2014

Tell me how many variation of permission requests the FCA has received that relate to CRD IV.

If possible please tell me when the applications were received on either a monthly or quarterly basis.

If possible, please also provide any estimates the FCA has made on how many variation of permission requests the FCA expects to receive in relation to CRD IV.”

FOI3314

February 2014

I am interested in how many dawn raids the FSA has conducted. By “dawn raids” I mean searches of businesses’ and individuals’ premises by the FSA under warrant and in the presence of a police officer.   

On a quarter by quarter basis, how many dawn raids did the FSA carried out in 2013?  If the data is not available in a quarterly data, please provide it in whatever form it exists.”

FOI3310

February 2014

1. Total number of applications for SIF roles in each of the following calendar years 2009, 2010, 2011, 2012, 2013.

2. Number of applicants put forward for interview, broken down by primary function, in each of the following calendar years 2009, 2010, 2011, 2012, 2013?
3. Number of applicants whose applications were withdrawn, broken down by primary function, for each of the following calendar years 2009, 2010, 2011, 2012, 2013.
4. Of the withdrawn applications above (Q3) how many were withdrawn after being interviewed by the FCA?  Please could we have figures broken down by primary function, for each of the following calendar years 2009, 2010, 2011, 2012, 2013?
5. Number of applicants successful in their application, broken down by primary function, in each of the following calendar years 2009, 2010, 2011, 2012, 2013?

FOI3302

February 2014

How much did the FCA spend on solicitors and barristers to represent it in legal proceedings during 2013? And how many different cases did this relate to?

FOI3288