Mortgage firm enforcement action information - October 2020

FOI Release Date of Release:

Reference Case Number: FOI7622

Freedom of Information: Right to know request:

  1. In the last ten years (or five years if ten is too much) have you fined/banned (taken any enforcement action) against a mortgage firm for having a misleading promotion. If so, in what form and how many firms? 
  2. More specifically, can you say if in the last ten years (or five) have you taken any enforcement action (fined or banned) against a mortgage firm for misleading financial promotions relating to its lead generation sources. 
  3. Have you taken any enforcement action (five or ten years) against a mortgage lead generation firm 'acting' as a mortgage broker but without the correct authorisation.

FCA response:

Refer to the supporting document below.

Supporting document

FOI7622 response