2017年-FCA英国金融行为监管局_skilled_persons_q4_16_17_2页_341kb
报告摘要
Skilled Person Reports Commissioned in Q4 2016/17 Summary
Core Content
This summary provides an overview of the number of skilled person reports commissioned in Q4 2016/17 by the Financial Conduct Authority (FCA), categorized by firm business types and conduct classification categories.
Business Type Breakdown (Figure 1)
The following table outlines the number of skilled person reports commissioned by different business types:
| Firm Business Type | Number of Skilled Person Reports |
|---|---|
| Personal Investment | 3 |
| Investment Management | 1 |
| Securities & Futures | 0 |
| Bank (inc Building Societies) | 3 |
| Insurance Companies (Note 5) | 0 |
| General Insurance Brokers | 0 |
| Home Finance Business / Mortgage | 0 |
| Professional firms | 0 |
| Stockbroker | 1 |
| Credit Union | 0 |
| Consumer Credit (Note 6) | 0 |
| Other (Note 7) | 0 |
| Total | 8 |
Key Notes:
- The figures are as of 31 March 2017.
- Business types are based on the FCA's Firm Primary Category classification.
- None of the 8 skilled person reports were commissioned under the FCA's direct contracting power introduced by the Financial Services Act 2012.
- The data may change based on the position as of the date of publication.
Conduct Classification Breakdown (Figure 2)
The following table shows the distribution of skilled person reports by FCA conduct classification categories:
| FCA Conduct Classification Categories | Fixed | Flexible | Total |
|---|---|---|---|
| Lot 4 Governance, Controls and Risk Management Frameworks | 1 | 1 | 2 |
| Lot 5 Conduct of Business | 0 | 5 | 5 |
| Lot 7 Financial Crime | 0 | 1 | 1 |
| Total | 1 | 7 | 8 |
Key Notes:
- Definitions of FCA conduct classifications can be found on the FCA website.
- The categorization may be subject to change, especially for consumer credit firms with interim permissions.
Skilled Person Firm Distribution (Figure 3)
The following table shows the distribution of skilled person reports among Skilled Person Firms:
| Skilled Person Firm | Governance, Controls and Risk Frameworks | Conduct of Business | Financial Crime | Total |
|---|---|---|---|---|
| BDO LLP | 0 | 0 | 1 | 1 |
| Clifford Chance LLP | 1 | 0 | 0 | 1 |
| KPMG LLP | 0 | 1 | 0 | 1 |
| Mazar LLP | 1 | 0 | 0 | 1 |
| Not yet appointed | 0 | 4 | 0 | 4 |
| TOTAL | 2 | 5 | 1 | 8 |
Key Notes:
- Firms are responsible for selecting and appointing Skilled Person Firms, with FCA approval as per SUP 5.4.8G.
- The "Not yet appointed" category indicates that 4 reports were still pending appointment at the time of publication.
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