Overseas regulators can use this form to request a letter of goodstanding for an individual or firm we regulate. Find out more about making and submitting your request.
Who can request a letter of goodstanding
Letters of goodstanding can be requested by overseas regulators and regulatory bodies. If you are a firm or an individual, you may be able to make a request via your regulatory body.
Letters of goodstanding may contain confidential information that can only be provided to a regulator and must not be disclosed to any third party.
|A goodstanding letter for overseas regulators may contain the following information|
|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.
Before making your request
Check if the firm or individual has ever been authorised, registered or approved by us
If a firm or individual has never been authorised, registered or 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 and persons responsible for payment services/e-money are not on the FS Register. See section 422 of FSMA for the full definition of 'controller'.
Check if we have published a notice
Notices may be published where we have taken formal action against a firm or individual (eg to prohibit them from being authorised or cancelling permissions).
Please note that we do not publish all notices in all instances and information may be provided where possible as part of the goodstanding letter.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
If you have confirmed that the firm or individual is authorised or approved, please submit a request using this form.
Please provide as much detail as possible within the request. Please note, if you do not provided enough detail then it may cause a severe delay or your request may be refused.
Information received by the FCA is considered to be confidential information which is subject to certain exceptions.
Information that is disclosed to you, should not be disclosed to third parties without FCA written consent.