Reference Case Number: FOI8562
Freedom of Information: Right to know request:
Under the Freedom of Information Act 2000 dated 02nd April 2019, I kindly request the following information related to CASS audits:
A. CASS audits for the period ended 30 April 2020
- A1. How many CASS audit opinions were received by the Financial Conduct Authority between the period 1st May 2019 and 30th April 2020?
- A2. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2019 and 30th April 2020 were qualified?
- A3. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2019 and 30th April 2020 were adverse?
- A4. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2019 and 30th April 2020 were clean?
B. CASS audits for the period ended 30 April 2021
- B1. How many CASS audit opinions were received by the Financial Conduct Authority between the period 1st May 2020 and 30th April 2021?
- B2. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2020 and 30th April 2021 were qualified?
- B3. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2020 and 30th April 2021 were adverse?
- B4. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2020 and 30th April 2021 were clean?
FCA response:
Section A
| Audit Opinion | # of audits |
|---|---|
| Adverse | 114 |
| Clean | 2498 |
| Except for | 681 |
|
Unable to form opinion |
1 |
| Grand total | 3294 |
Section B
| Audit Opinion | # of audits |
|---|---|
| Adverse | 78 |
| Clean | 2461 |
| Except for | 697 |
| Grand total | 3236 |