The aim of our Disclosure Log is to keep information that we have released under the Freedom of Information Act and which we think is of wider public interest. Find the Disclosure Log for 2013 below.
Below is a list of some of the disclosures made under the Freedom of Information Act, which we consider to be of wider public interest, with a short summary of each document and the date it was released. To preserve the integrity of the original documents, all files are in Adobe Acrobat (PDF) format and have not been formatted for accessibility. The list will be extended as items that we consider to be of wider public interest are requested and released.
Some responses to Freedom of Information requests consist of large numbers of documents that are not held in an electronic format. Where practical, these documents have been scanned and made available electronically.
However, in certain cases the volume of material involved has made this impractical and the information can be provided in a hard copy format only. For information about how to access any such material, please call 020 7066 4406 or email us at: [email protected].
|
Date of release |
Subject |
Reference |
|---|---|---|
|
December 2013 |
|
FOI3191 |
|
December 2013 |
|
|
|
November 2013 |
|
|
|
November 2013 |
|
|
|
October 2013 |
|
|
|
October 2013 |
For each year from 2001 to the present day, I'd like to request the names of each company authorised by the FSA/FCA to provide advice on interest rate swap agreements. For the sake of clarity, I'd like, if possible, showing all the companies that were FSA/FCA authorised in each calendar year. |
|
|
October 2013 |
I would like to know how many cases the Financial Conduct Authority and the Financial Services Authority before it have handled with regard to the use of private investigators by insurance companies. My questions are:
|
|
|
October 2013 |
As a continuation of FOI1939 found here (November 2021 update: see FSA's National Archive) I would like a breakdown of figures for Suspicious Transaction Reports filed to the FCA (FSA) from January 2011 up to and including August 2013, with figures broken down on a month by month basis.
I would also like:
|
|
| September 2013 |
|
|
|
September 2013 |
|
|
|
August 2013 |
“How much money was spent on the recent research undertaken by NMG with regards to how effectively (or otherwise) intermediaries are communicating their charges to consumers?” |
|
|
August 2013 |
" I'm interested in the number of financial promotions that the FSA/ FCA have been withdrawing or amending. The FSA released this information to September 2012: (November 2021 update: foi2705 see FSA's National Archive site) I would like the same information on a monthly basis from October 1 2012 up to and including the most recent month possible." |
|
|
August 2013 |
|
|
|
August 2013 |
“Requests for assistance from foreign enforcement agencies, received via the FCA's International Requests inbox and in particular how many requests did the FCA receive from US enforcement agencies - between 1st January 2006 - 31st December 2012”. |
|
|
August 2013 |
“Remuneration Code / Amendments to Senior Management Arrangements, Systems and Controls Sourcebook: We are interested in identifying how the FCA monitors whether firms are taking into account their statutory duties in relation to equal pay and discrimination (particularly sex discrimination) . . .
|
|
|
August 2013 |
“In respect of the 2012 Retail Investments Product Sales Data Trend report, Table 4 (Self Invested Personal Pensions) - can you please provide a breakdown for each quarter since 2007 Q3 (when you commenced collecting SIPP stats) showing:
|
|
|
August 2013 |
“The FCA (and its predecessor the FSA) has prosecuted three men - Steven Graham, Tim Whiston and John Whelan - at Southwark Crown Court (R v Graham & others). There have been two trials (one in 2012 and one in 2013). We request information in respect of the cost incurred by the FCA in respect of this case to (to include the investigation from 2006 to 2009 and the cost of the proceedings themselves since 2009 (when the defendants were charged) to date - including expert costs, counsel's costs, witnesses costs etc).” |
|
|
August 2013 |
“In relation to the Summary Board Meeting minutes of the FSA dated 28 July 2011: The information I am looking for is in respect of the item in these minutes titled ‘Unregulated Collective Investment Schemes’. This item refers to a ‘Report’ that was considered by the Board. I would like to know the contents of that Report i.e. have a copy of it. I am particularly interested in knowing more about the subject-matter of the 2nd bullet point: “there was some concern about the current selling practices and the descriptions of exemptions in the rules, and that this could be made clearer.” |
|
|
July 2013 |
“I am interested in the number of interviews the FSA and the FCA have conducted for Significant Influence Function applicants, broken down by sector (e.g. banks, hedge funds, insurance, etc). Alternatively please provide these sectors using the FSA/FCA's own categorisation. I would like the information on an annual basis to the year end March 31st, starting from April 1st 2009 and including the year to March 31st 2013. If possible within the time and cost limits permitted under FOIA, it would be interesting to know how many of the applications were:
On the 5 July 2013 the request was refined as follows: “I can confirm that I'd like the information I requested from 1 September 2009.” |
|
|
July 2013 |
|
|
|
July 2013 |
“Please supply the number of incoming calls handled by you and the ESA, specifically regarding rare earth metals and carbon credits, for the past 12 months. From 01/06/2012 to the current date.” |
|
|
July 2013 |
“I would be grateful if you could disclose, in connection with RBS, Lloyds TSB, Northern Rock , and Bradford & Bingley:
On 18 June 2013 this was clarified as follows: “….no, I don’t mean employers liability insurance, but professional indemnity insurance or similar insurance that covers the risk of legal action from third parties, not from employees.” |
|
|
June 2013 |
“For the calendar years 2011, 2012 and 2013 (to date): a) What were/are the total number of applications to be a Payment Institution? Within the total number of applications to be a Payment Institution in each calendar year: b) What were the total number that were successful? Within the total number of applications to be a Payment Institution in each calendar year: e) How many applications were ‘rejected’ in less than 3 months? g) As of to-date 2013, how many applications to be a Payment Institution remain outstanding or in-progress? If possible without too much additional burden, can the above questions a) through to g) be answered with regard to applications to be a Small Payment Institution?” |
|
|
June 2013 |
A full list of firms within the Financial Services Compensation Scheme’s investment intermediary subclass from the year 2011/12 and 2012/13. |
|
|
June 2013 |
“Details of your insurance company (the one that covers against possible claims for negligence against your organisation and its staff). Details of DOI (Directors and Officers) insurance policies contracted by your organisation for members its staff, or contracted by staff members for themselves.” |
|
|
June 2013 |
"I would like to know how much the FCA spent developing and coming up with its branding." |
|
|
June 2013 |
1) How many calls to the whistleblower hotline / emails to the whistleblower address has the FSA (FCA) received (broken down by year, every year since the hotline was set up)? 2) What five companies have been the subject of the most calls to the FSA's whistleblower hotline / emails to the whistleblower address since it was set up (and how many calls and emails have been received for each of those companies since the hotline began)? 3) Has the FSA ever received a call/email about the manipulation of Libor or related interest rate benchmarks to its whistleblower service? If so, when and how many? 4) Has the FSA ever received a call/email about the mis-selling of PPI to its whistleblower service? If so, when and how many? 5) Has the FSA ever received a call/email about the mis-selling of interest-rate swaps to its whistleblower service? If so, when and how many? 6) How many calls/emails has the FSA received about insider trading to its whistleblower service (broken down by year, every year since the hotline was set up)? 7) How many FSA/FCA employees work on answering calls to the whistleblower hotline on a normal day?
|
|
|
May 2013 |
1. “… the number of financial advisers and mortgage brokers, individuals or firms, currently under FCA investigation?”; 2. “… the broker and adviser numbers separately”?; 3. “… the reason they are being investigated?”; 4. “… the names of those under investigation?”. |
|
|
May 2013 |
“I was wondering if the FCA had any data (approximate would suffice) which sets out the % of authorised firms which: a) have discretionary investment authorisation; |
|
|
May 2013 |
'...how many UK regulated banks have applied for the IMD passport'. |
|
|
May 2013 |
"I would be most grateful if you can confirm the costs incurred to create and establish the brand identity of the FCA up to its April launch. |
|
|
May 2013 |
“would you please let me have information which I requested in point 3.1(3) of my revised request i.e. all the information contained in the FSA’s feedback letter to Keydata on its review (i.e. the 2007 Keydata Product Provider Review)”. |
|
|
May 2013 |
“How many requests for an FSCS rebate have been made in relation to the 2010/11 levy? Can you please break these down by the type of firm, e.g., investment manager, fund manager etc. If any requests have been made, how many have been approved? What is the total sum of these requests, both applications received and approved?” On the 15 April 2013 you clarified your request as follows: “I would like information about rebates in relation to the additional interim levy.” |
|
|
May 2013 |
“. . . please supply me with the individual years – over the last 30 – that the Battersea Club . . . 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.” |
|
|
April 2013 |
‘I request FSA provide me with information pertaining to the FSA's authorisation of the sale of Northern Rock Asset Management (NRAM) mortgages to Papilio UK Equity Release Mortgages Limited (JP Morgan) (Papilio). Please provide the following information: (i) The date on which the FSA authorised the sale of NRAM mortgages to Papilio? And the precise dates of the sale and subsequent complete transfer of accounts to Papilio? (ii) The details setting out the reasons the FSA did not require JP Morgan (Papilio) to obtain a licence to operate the mortgage account of UK mortgage account holders, and thus did not issue a licence to operate the mortgage accounts (resulting in all Regulatory Protection being removed from UK account holders)? (iii) The details setting out the reasons the FSA authorised the sale of Northern Rock mortgage accounts to JP Morgan (Papilio) in light of the sale resulting in significant changes (detriments) to the terms on which the mortgages were initially taken out?’ |
|
|
April 2013 |
“I would like to see all correspondence with HMT ministers and officials and notes of communications with same on matters relating to the sale of derivatives to SMEs and copies of notes and other documents, whether in written, digital or handwritten form, covering such communication and preparation for or response to such communication. My request relates to the period 1st September 2012 up to today's date [29 January 2013]” |
|
|
April 2013 |
“I request the following information in relation to the granting of waivers.
|
|
|
April 2013 |
“1) I would like some information on how many applications for the cancellation of permission the FSA received, from January 1st 2007 – 31st December 2012. Please provide this information on a quarterly basis or, if that is not possible within the FOIA time and cost limits, please provide it on an annual basis. 2) If possible, I would also like to know what proportion of these applications were from businessesand what proportion were from individuals?” On the 19/03/2013 we requested clarification of your request as follows: “1) When you refer to the ‘cancellation of a permission’, do you mean:
2) When you refer to the ‘proportion’ of businesses and individuals, do you mean how many applications were received in total from firms and separately how many applications were received in received in total from in from individuals between 01/01/2007 – 31/12/2012?” On 21/03/2013 you confirmed that you were interested in the following: “In clarification of my request, on point 1 (meaning of ‘cancellation of permission’), I mean the full cancellation of a firm or individual (i.e “b” in your email). On point 2 (the ‘proportion’ of businesses and individuals), you are correct. If there is sufficient time for you to provide the information, I would like separate figures for businesses (firms) and individuals (applications in total received between 01/01/2007 – 31/12/2012).” |
|
|
April 2013 |
“…the disclosure of any material you hold in relation to the Cyber Security government review referred to below (e.g. checklist/documents setting out the scope, purpose or framework of the review/documents setting out areas covered by the review). The request does not include: (a) the names of the 30 firms; or (b) any information provided by those firms about their Cyber Security measures.” |
|
|
April 2013 |
the “. . . proportion of FSA ARROW visits from January 1st 2009 – December 31st 2012 [that] found weaknesses in the target business’s anti-money laundering practices.” |
|
|
April 2013 |
“1. What is the actual, annual costs for the maintenance / upkeep of the FSA Register? By this, I am seeking information on the Information Technology budget set aside in this regard e.g. on a yearly basis, how much does it cost the FSA to run the Register (before fees obviously offset this cost)? An indication of these costs per annum since 2008 would be great. 2. What is the number of FSA staff solely deployed on the maintenance / upkeep of the Register? Again, confirmation of these numbers since 2008 would be appreciated. 3. What are the actual, annual costs in relation to FSA staff / resource required to maintain the Register? As previous, an indication of these costs over the last 5 years would be useful.” |
|
|
April 2013 |
“Pursuant to the Freedom of Information Act 2000, I was hoping that you could also provide me with some information on the MOUs that the FSA (and - prior to 1998 - the Bank of England) has signed with other banking supervisors. I was hoping that you could provide me with a complete list of the bilateral banking supervision MOUs that the FSA (and before 1998 the Bank of England) has signed in the area of banking supervision…I would require information on the year in which the MOU was signed and the name of the foreign supervisory authority. (I should add that the types of MOUs I am interested in are only bilateral MOUs on general co-operation and information-sharing with foreign bank supervisors. I do not require information on co-operation and co-ordination agreements for the supervision of cross-border banking groups, on multilateral MOUs, or on insurance and securities MOUs.)” |
|
|
April 2013 |
“I would be grateful if you could email me copies of any summaries or notes from the round tables referred to in Annex 8 of the ‘Review of requirements for firms entering into or expanding in the banking sector.’” |
|
|
April 2013 |
“In view of the recent gaoling for 5 years of a robber who stole £1.5m, I am interested in the progress in the penalties being applied to those who carried out the multi-billion PPI fraud. Part of your responsibilities is the management and policing of the UK financial system. Please let me know how many directors, salesmen, etc. involved in the mis-selling PPI conspiracy have been convicted, and your estimate of the total number who will end up with custodial sentences . . .” |
|
|
April 2013 |
"1) Which of the NDFA Lehman-backed brochures did the FSA examine as part of their review.
|