2014年-FCA英国金融行为监管局_fca_q2_1415_2页_261kb

Summary of Skilled Person Reports Commissioned in Q2 2014/15

Core Content Overview

This document provides a detailed breakdown of the number of skilled person reports commissioned in Q2 2014/15 by the Financial Conduct Authority (FCA). It includes data on the types of firms that commissioned these reports, the conduct rating categories they fall under, and the specific skilled person firms involved.

Number of Skilled Person Reports Commissioned by Business Type

The following table summarizes the number of skilled person reports commissioned by different business types:

Key Notes:

• The data is as of 30 September 2014.
• Business types are based on the FCA Firm Primary Category.
• One of the 14 reports was commissioned under the FCA's direct contracting power introduced by the Financial Services Act 2012.
• The "Insurance Companies" category includes Lloyd's members' agents, managing agents, and agents.
• The "Consumer Credit" category includes credit broking, unsecured lending, secured lending, debt collection, and debt management firms.
• The "Other" category includes Friendly Societies, CIS trustees, CIS administrators, advising and arranging intermediaries (excluding financial advisers and stockbrokers), media firms, and service companies.

Conduct Rating Categories of Skilled Person Reports

The table below shows the distribution of skilled person reports across the FCA's conduct rating categories:

Key Notes:

• Conduct rating definitions are detailed in "The Journey to the FCA" on the FCA website.
• Skilled Person Report categories (Lots) are also described on the FCA website.
• The categorization for consumer credit firms with interim permissions is based on current firm information and may be subject to change.

Skilled Person Firms Involved

The table below lists the skilled person firms involved in the reports, along with the number of reports they conducted in each category:

Key Notes:

• The firm is responsible for selecting and appointing the skilled person firm, with FCA approval as per SUP 5.4.8G.
• Thirteen of the fourteen skilled person reviews were conducted by firms that appointed the skilled person themselves.
• Broomfield & Alexander Advisors are not on the FCA's panel of skilled person firms but were approved to conduct one review due to exceptional circumstances in a regulated firm.