2015年-FCA英国金融行为监管局_skilled_persons_q2_15_16_2页_148kb

Summary of Skilled Person Reports Commissioned in Q2 2015/16

Core Content

This document provides a summary of the number of skilled person reports commissioned in Q2 2015/16 by firms regulated by the Financial Conduct Authority (FCA). It includes data categorized by firm business type and FCA conduct classification categories.

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Number of Skilled Person Reports by Business Type

A total of 13 skilled person reports were commissioned in Q2 2015/16. The breakdown by business type is as follows:

• Personal Investment: 3
• Investment Management: 2
• Insurance Companies (Note 5): 1
• General Insurance Brokers: 2
• Consumer Credit (Note 6): 3
• Other (Note 7): 0

Notes:

• The figures are as of 31 October 2015.
• The data is based on the FCA Firm Primary Category type.
• Two of the thirteen reports were commissioned under the FCA's power introduced in the Financial Services Act 2012, allowing direct contracts with skilled persons.
• The figures may change based on the position as at the date of publication.

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Conduct Classification Categories for Skilled Person Reports

The skilled person reports were categorized under the FCA's conduct classification categories (C1 to C4). The distribution is as follows:

Conduct Classification	C1	C2	C3	C4	Total
Lot 3 Client Assets	2	0	0	3	5
Lot 4 Governance, Controls and Risk Management Frameworks	0	2	0	0	2
Lot 5 Conduct of Business	1	0	0	5	6
Lot 6 Data and IT Infrastructure	0	0	0	0	0
Lot 7 Financial Crime	0	0	0	0	0
Total	3	2	0	8	13

Notes:

• The definitions of the FCA's conduct classifications can be found in 'The Journey to the FCA' on the FCA website.
• Details of the different skilled person report categories or "Lots" are available on the FCA website.
• The categorization for consumer credit firms with interim permissions is based on information provided by firms and may be subject to change.

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Skilled Person Firm Engagement

The skilled person reports were conducted by various firms, including:

• BDO LLP: 1 (Client Assets)
• Bovill Limited: 1 (Conduct of Business)
• Complyport Limited: 1 (Conduct of Business)
• Deloitte LLP: 2 (Client Assets + Conduct of Business)
• Ernst & Young LLP: 1 (Governance, Controls and Risk Frameworks)
• Grant Thornton UK LLP: 2 (Client Assets + Conduct of Business)
• Kinetic Partners LLP: 1 (Client Assets)
• KPMG LLP: 1 (Conduct of Business)
• Mazars: 1 (Governance, Controls and Risk Frameworks)
• PKF Littlejohn: 1 (Client Assets)
• PriceWaterhouseCoopers LLP: 1 (Conduct of Business)

Total engagement across categories:

• Client Assets: 5
• Governance, Controls and Risk Frameworks: 2
• Conduct of Business: 6
• Data and IT Infrastructure: 0
• Financial Crime: 0

Notes:

• When a firm contracts with a skilled person firm, it is responsible for selecting and appointing the firm, with the FCA approving the selection under SUP 5.4.8G.
• Eleven of the thirteen skilled person reviews were conducted by firms that appointed the skilled person themselves, performing their own selection process.

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Key Information

• A total of 13 skilled person reports were commissioned in Q2 2015/16.
• The Consumer Credit and Insurance Companies categories accounted for the largest number of reports (3 and 1, respectively).
• Two reports were commissioned under the FCA's direct contracting power.
• The Conduct of Business category had the highest number of reports (6).
• Five skilled person firms were engaged in total.
• The FCA plays a supervisory role in approving the selection of skilled person firms.