Reference Case Number: FOI7276
Freedom of Information: Right to know request:
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Could you please confirm the total number of SMF16 holders as of 1st May 2020? Could you please confirm the number of SMF16 holder as at 10th December 2019? How many SMF16 holders have responsibilities for entities which give advice to retail clients as of 1st May 2020? How many SMF16 holders have responsibilities for entities which give advice to retail clients as of 10 December 2019? Prior to the introduction of the SM&CR how many Customer Function 30 holders were there giving advice to retail clients? Does the FCA have an estimate of the number of Compliance professionals working at regulated entities giving advice to retail clients? If the answer is yes to the previous question, please release the estimate? |
FCA response:
Refer to supporting document below.