2017年-FCA英国金融行为监管局_skilled_persons_q3_16_17_2页_261kb

Summary of Skilled Person Reports Commissioned in Q3 2016/17

Core Content

This document provides a summary of the number of skilled person reports commissioned by the Financial Conduct Authority (FCA) in Q3 2016/17, categorized by firm business types and FCA conduct classification categories. It also includes details on the distribution of these reports among skilled person firms and the status of appointments.

Main Points

1. Number of Skilled Person Reports Commissioned

• A total of 15 skilled person reports were commissioned in Q3 2016/17.
• The reports were distributed across various firm business types, with the following counts:

• Note: The figure for "Insurance Companies" includes Lloyd's members' agents, managing agents, and agents. The "Other" category encompasses Friendly Societies, CIS trustees, administrators, advising intermediaries (excluding financial advisers and stockbrokers), media firms, and service companies.

2. Conduct Classification Categories

• The 15 reports were classified under different FCA conduct categories, as shown in the following table:

• Note: Lot 9, though titled "Prudential Insurance," refers to a specific technical specialism required for a particular review.

3. Distribution Among Skilled Person Firms

• The skilled person reports were distributed among the following firms:

• Total: 2 reports under "Client Assets," 4 under "Governance, Controls and Risk Frameworks," 7 under "Conduct of Business," and 2 under "Prudential - Investment Firms, etc."

Key Information

• The figures are as of 31 December 2016 and may be subject to change.
• The FCA uses the FCA Firm Primary Category type to classify business types.
• One of the 15 reports was commissioned under the FCA's power introduced in the Financial Services Act 2012, allowing direct contracts with skilled persons.
• Firms are responsible for selecting and appointing skilled person firms, with the FCA approving the selection in accordance with SUP 5.4.8G.
• The data in the tables is based on the position as of the date of publication and may change over time.

Conclusion

The document outlines the distribution of skilled person reports commissioned by the FCA in Q3 2016/17 across different business types and conduct classification categories. It highlights that while the majority of reports were commissioned under standard categories, one was handled through a direct skilled person contract. The data also shows the involvement of several well-known firms, with some reports still pending appointment.