Requests for letters of goodstanding

Overseas regulators can use this form to request a letter of goodstanding for an individual or firm we regulate.

Before making your request

Check if the firm or individual has ever been authorised, registered or approved by us

Find this information on our Financial Services Register.

If a firm or individual has never been authorised, registered approved by us, we are unable to provide a letter of goodstanding. This is because we will have no information to provide about that firm or individual.

Please note that Controllers are not on the register. See section 422 of FSMA for the full definition of 'controller'.

Check if we have published a notice

Search the notices we have published on our website.

Where we have taken formal action against a firm or individual (eg to prohibit them from being authorised or cancelling permissions) we publish a notice.

Please note that we do not publish all notices in all instances and information may be provided where possible as part of the goodstanding letter.

Submit a request

The steps above will provide you with information we have made publicly available. We may hold further, confidential, information on the firm or individual.

If you have confirmed that the firm or individual is authorised or approved please submit a request using this form.

When submitting your request, please include the individual and/or firm reference numbers where relevant so we can find the correct details quickly.

You can find reference numbers on our Financial Services Register. A firm’s reference number is a six digit number and an individual’s reference number is an eight digit number that starts with three letters.

Find out more about how to use the Register.

Please note that as much details as possible needs to be included on the form, if sufficient detail is not provided then it will cause severe delay or your request to be refused.

Information received by the FCA is considered to be confidential information which is subject to certain exceptions. 

Please note that information that is disclosed to you, should not be disclosed to third parties without FCA written consent.

A goodstanding letter may contain 
Regarding individuals Regarding firms

Whether an individual was or is approved by us.

Whether we have ever disciplined the individual.

Whether we have adverse information on the individual

Details of the controlled function held by the individual.

Whether the firm was or is authorised and regulated by us.

The permissions held by the firm.

The activities an EEA firm has passporting rights to carry out.

Whether we hold any relevant adverse information.

Whether we are aware of any complaints against the firm.

Whether the firm has been subject to censure, criticism or disciplinary proceedings by us.

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We note that this form may contain confidential information. For this reason, we will keep its contents confidential and will not disclose information contained within it to any third parties without obtaining your prior written consent.

Where we can provide goodstanding letters, they will contain information subject to professional secrecy or confidentiality. The letters must not be disclosed to any third parties without our prior written consent.