Reference Case Number: FOI11583
Freedom of Information: Right to know request:
A. CASS audits for the period ended 30 April 2022
A1. How many CASS audit opinions were received by the Financial Conduct Authority between the period 1st May 2021 and 30th April 2022?
A2. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2021 and 30th April 2022 were qualified?
A3. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2021 and 30th April 2022 were adverse?
A4. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2021 and 30th April 2022 were clean?
B. CASS audits for the period ended 30 April 2023
B1. How many CASS audit opinions were received by the Financial Conduct Authority between the period 1st May 2022 and 30th April 2023?
B2. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2022 and 30th April 2023 were qualified?
B3. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2022 and 30th April 2023 were adverse?
B4. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2022 and 30th April 2023 were clean?
C. CASS audits for the period ended 30 April 2024
B1. How many CASS audit opinions were received by the Financial Conduct Authority between the period 1st May 2023 and 30th April 2024?
B2. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2023 and 30th April 2024 were qualified?
B3. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2023 and 30th April 2024 were adverse?
B4. How many CASS audit opinions received by the Financial Conduct Authority between 1st May 2023 and 30th April 2024 were clean?
FCA response:
Please see our response is below.
Table 1– CASS audits received for the period ending 31 December 2022 only:
| Total number of CASS audit opinions received between the period 1 May 2023 and 30 April 2024 |
1765 |
| The number of CASS audit opinions received between period 1 May 2023 and 30 April 2024, that were qualified |
364 |
| The number of CASS audit opinions received between period 1 May 2023 and 30 April 2024, that were adverse |
41 |
| The number of CASS audit opinions received between period 1 May 2023 and 30 April 2024, that were clean |
1359 |
| The number of CASS audit opinions received between period 1 May 2023 and 30 April 2024, that were unable to form opinion |
1 |
Table 2 – CASS audits received for the period ending 31 December 2023 only:
| Total number of CASS audit opinions received between the period 1 May 2024 and 8 September 2024 |
1676 |
| The number of CASS audit opinions received between period 1 May 2024 and 8 September 2024, that were qualified |
366 |
| The number of CASS audit opinions received between period 1 May 2024 and 8 September 2024, that were adverse |
41 |
| The number of CASS audit opinions received between period 1 May 2024 and 8 September 2024, that were clean |
1268 |
| The number of CASS audit opinions received between period 1 May 2024 and 8 September 2024, that were unable to form opinion |
1 |