Reference Case Number: FOI7965
Freedom of Information: Right to know request:
Follow-up to FOI7564 for which we cited the cost limit exemption and offered to consider a refined request:
- Authorised firms are required to submit applications for individual approvals under the approved persons regime and now, where relevant, the senior manager regime. Please provide information concerning the total number of individuals for whom, in respect of the last six months of 2018, 2019 and 2020:
- An application was submitted to the FCA.
- In respect of which application, the individual was given unconditional approval
- In respect of which application, the individual was given conditional approval
- In respect of which application, the firm later withdrew the request for approval before a decision was made
- In respect of which application, the FCA declined to approve the individual
- The number of complaints relating to both authorisations and credit authorisations and the outcome of these complaints for 2018, 2019 and 2020.
FCA response:
Refer to supporting documents below