2014年-FCA英国金融行为监管局_fca_q1_1415_2页_252kb

Summary of Skilled Person Reports Commissioned in Q1 14/15

Core Content

This document provides a summary of the number of skilled person reports commissioned in the first quarter of the 2014/15 financial year, along with relevant notes and categorisations. The data is presented in three figures, each offering different perspectives on the reports.

Key Information

• Total number of skilled person reports commissioned: 11
• Date of data: As of 30 June 2014
• Sources of data: Based on the FSA/FCA Firm Primary Category type
• Data may change: The figures are based on the position as at the date of publication and may be subject to revision

Figure 1: Business Type Distribution

Main Points

• Banks accounted for the largest number of skilled person reports (5).
• Insurance Companies and Consumer Credit categories each had 2 reports.
• Personal Investment had 1 report, while other categories such as Investment Management, Securities & Futures, and Professional firms had no reports.
• The "Other" category includes Friendly Societies, CIS Trustees, Advising and arranging intermediaries (excluding FAs and Stockbrokers), Media firms, and Service Companies.

Figure 2: Conduct Rating and Skilled Person Report Categories

Main Points

• The reports were distributed across four conduct rating categories: C1, C2, C3, and C4.
• C2 had the highest number of reports (5), followed by C3 (4), C1 (1), and C4 (1).
• Lot 4 (Governance, Controls and Risk Management Frameworks) had the most reports (4), while Lot 3 had only 1.

Figure 3: Skilled Person Firm Distribution

Main Points

• Deloitte LLP and KPMG LLP were the most frequently used skilled person firms, each having 1 report in the "Conduct of Business" category.
• Grant Thornton LLP had 1 report in the "Client Assets" category.
• Not yet appointed firms accounted for 2 reports in the "Financial Crime" category and 1 in "Conduct of Business".
• Total reports across all categories: 11

Main Viewpoints

• The majority of skilled person reports (8 out of 11) were commissioned by firms that conducted their own selection processes.
• The FCA's new power to contract directly with skilled persons was used in 3 of the 11 reports.
• The reports were distributed across various conduct rating categories, with C2 and C3 being the most common.
• The "Not yet appointed" category indicates that some firms were still in the process of selecting a skilled person firm at the time of reporting.

Conclusion

The data highlights the distribution of skilled person reports across different business types and conduct rating categories in Q1 14/15. It also reflects the FCA's evolving role in commissioning these reports, with some firms exercising their own selection powers. The use of skilled person firms varied, with some categories having more reports than others, and a portion of firms still not having appointed a skilled person firm.