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FSA Register Extract Service
on
Computer Readable Media
Subscribers Handbook
25 The North Colonnade, Canary Wharf, London E14 5HS * Tel: 020 7066 1000
February 2009
C ON T E N T S
1.1 Financial Services and Markets Act 2000
1.2 The FSA Register
1.3 Register Extract Service
1.4 Subscribers Handbook
Administration
APPENDIXES
A Magnetic Tape Files Structure
G3. Markets in Financial Instrument Directive (MiFID)
INTRODUCTION
Financial Services and Markets Act 2000
The Financial Services and Market Act 2000 ("the Act") came into force on 1 December 2001. This brought the regulation of most financial services companies into the remit of the Financial Services Authority. From this date it has been a criminal offence to provide financial (other than credit) services without authorisation (or exemption) under the Act.
The FSA Register
The online FSA Register is a public record of financial services firms, individuals and other bodies which fall under its jurisdiction.
The online FSA Register provides an online search for firms that are or have been regulated by the FSA under the Financial Services & Markets Act 2000 (FSMA), which came into force on 1 December 2001. If you require regulatory information prior to this date please contact us.
The online FSA Register also allows users to search for businesses that are or have been registered with the FSA under the Money Laundering Regulations.
Access to the Register is free via the Internet (www.fsa.gov.uk/register) which is suitable for ad hoc searches for authorised and registered firms and individuals.
Register Extract Service
The Register Extract Service forms part of the FSA's Publication Scheme which has been compiled in line with our obligation under the Freedom of Information Act 2000.
The FSA Register Extract Service offers a subscription service (weekly or monthly updates) and a single, one-off, copy of the data. The service is made up of two data extracts: the `firms extract' and the `individuals extract'. The standard service includes only the firms extract. For an additional fee, the service can be enhanced to include the individuals extract. The individuals extract is not sold on its own. Please note that the Register Extract Service does not include data we show on our Register for Money Laundering Regulations. More information on the Money Laundering Regulations can be found under Appendix E (G4) of this handbook. The data can be provided in a number of formats and different media (see sections 3.1 and 3.2 below).
Alternative provision of the FSA register extract and related services is available from Spectrum Data Management Limited (SDM). SDM provides an internet based register extract download and interrogation facilities for the data. Full details of their service are obtainable via SDM's website (www.sdm.co.uk) or you can contact SDM at:
Neilson building
Locks View
Brighton Marina
Brighton
East Sussex
BN2 5HA
Contact:
Paul Robinson: 07770 430228
An annual licence fee is payable to FSA for the use of the register data supplied via SDM. The charge for the services provided by SDM is paid direct to them.
Subscribers Handbook
This handbook explains the administration of the extract subscription service, together with some background to the actual Register administration; and provides full details of the extract: format and codes used. Subscribers will be notified of updates to this handbook. Revised versions will be issued to subscribers when there have been substantial changes. Subscribers can request an up-to-date copy of the handbook at any time (we will usually send this via email).
Administration
2.1 Extract Delivery
On receipt of your initial subscription payment, you will be included on the distribution list for the next extract production date which will depend on whether you are a monthly or weekly subscriber. Weekly extracts should reach you on Tuesday mornings. Monthly extracts should reach you on the first Tuesday of each month. Overseas addresses should receive extracts by the Wednesday. Allowances should be made for public holidays. No extracts are produced for delivery on the Tuesday following Christmas.
Extract Media is non-returnable.
2.2 Help Lines
For enquiries regarding the contents of the extract, or subscription details, you should contact:-
Joel Williamson or Lara McSweeney
FSA Register - Systems and Operations Management
Financial Services Authority
25 The North Colonnade
Canary Wharf
London E14 5HS
Direct Line: 020 7066 5836 or 020 7066 3678 Switchboard: 020 7066 1000
E-mail [email address]
Queries regarding the data of specific entries should be directed to the Register enquiry service by telephone 0845 606 9966 or by email [email address]
2.3 Subscriptions and Renewals
For new customers, the initial subscription period will vary depending on when the subscription was entered into with the FSA. The standard subscription year runs from 1 September to 31 August each year. The minimum subscription period for monthly/weekly updates will be 3 months. New subscriptions taken out in July or August will be for 14 and 13 months, respectively.
At the end of your initial subscription period you will be automatically invoiced for a further 12 month period (1 September to 31 August) at the appropriate subscription rate. For those subscribers who have provided the FSA with a Direct Debit mandate, the invoice will notify you of the date when we will make our collection and confirm the amount to be collected.
The FSA will inform subscribers of any price changes at the least 2 months in advance as set out in the Terms and Conditions of the service.
2.4 Who do I contact if I have a complaint?
If you are unhappy about the level of service we are providing under the Terms and Conditions of this service, please call a member of the FSA Register Team: Lara McSweeney (020 7066 3678) or Chris Stoddart (020 7066 0208).
However, if you want to make a formal complaint, please write to or email Chris Stoddart, the FSA Register Manager. Emails should be sent to [email address]. For more information about making a complaint to the FSA please visit the FSA's website (http://www.fsa.gov.uk/Pages/About/complaints).
Extract Format
3.1 Magnetic Tape Format
The extract is available in three basic tape formats. The first, aimed at IBM systems, provides fixed length fields and fixed length records, EBCDIC coded with standard IBM labels on 3480 cartridge. Other formats provide variable length fields and records (field separator = |), ASCII coded files. They can be provided as standard files or Unix TAR files on 4mm DAT tape or 8mm EXABYTE tape.
3.2 Other Media Format
The variable length records can also be provided on standard CD (CD-R) or compressed onto multiple 3½" floppy discs.
3.3 Extract Contents
The firms extract contains five files:
1. Authorisation File in FSA Reference Number order
2. Permitted Activity File FSA Reference Number order
3. Alternative Name file in FSA Reference Number order
4. Appointments file in FSA Reference Number order
5. Products File in FSA Reference Number order
The individuals extract contains three files:
1. Individuals File in FSA Individual Reference Number order
2. Controlled Function File in FSA Individual Reference Number order
3. Appointment Employment file in FSA Individual Reference Number order
Detailed File Layouts for the extract are contained in Appendix A. Not all fields are mandatory. Fields such as Telephone Number and Postcode may not contain data.
3.4 Authorisation File
This file contains the Name, Address and current Status of firms on the Register. Dates of first Authorisation and of Current Status are also included. A Sort Key based on the name, with all spaces and punctuation removed, is included to aid name searching. Values used in the Status field are in Appendix C (including an explanation of their meaning). The file will always contain entries of firms that have ceased to be authorised. If media capacity becomes a problem the records may be removed from the extract any time later than one year after authorisation has ceased. It is important to check the status to confirm authorisation. This file also includes the basic details of all appointed representative firms (status=Registered). Details of their current appointments (if any) will be in the appointments file. Only firms that have been subject to regulation under the Act will be included in the file.
3.5 Permitted Activity File
This file contains the regulated activities (e.g. the type of financial services) which authorised firms on the Authorisation File are permitted to provide. This file should be used in conjunction with the Authorisation File, using the FSA Reference as the key. Each entry has a status and a status date. These records will remain on the system for about six months after they cease to be current.
3.6 Alternative Name File
This file contains other names that a firm on the authorisation file is known to use or has used in the past. It is not necessarily the case that all historical data is present.
3.7 Products File
This file contains details of the Collective Investment Schemes that are regulated by FSA
3.8 Appointments File
This file provides the link between an appointed representative record (in the authorisations file) and its principal firm(s) (also in the authorisations file).
3.9 Sub Status Code File (Available from November 2006)
This file shows those firms who have a current sub status code
3.10 Individuals File
This file provides details of all persons approved to undertake a controlled function for an authorised firm. These are mainly individuals but in rare cases can be corporate persons.
3.11 Individuals Controlled Functions File
This file contains details of all controlled functions currently held, or that have been held, by approved persons since 1 December 2001. The approved date in this file is the date that the FSA approved the controlled function for the individual.
3.12 Individual Employment Details File
This file provides details of any employment links with appointed representative firms through which an individual has undertaken a controlled function.
3.13 Update Details
Each copy of the Register that you will receive will be a complete copy. To recognise what details have changed since you last received a copy, a comparison of the data sets is required. Changes are not normally backdated but may be in exceptional cases. In addition, normal operations mean that updates to the Register may occur a short while after the relevant FSA authorisation committees meet. Extracts produced within this time lapse will give the effect of backdated updates. To overcome these data characteristics, it is recommended that the data from each extract is used to replace the data from the previous extract rather than being used to update the system.
As an aid to identify changes to the records on each of the files, the date that the record was last changed on the register is included and could be used to identify changes since the last extract was produced. If this technique is used, it is recommended that the data is refreshed completely (using the full extract) on a regular basis. Whilst every effort will be made to ensure that the date record will be updated whenever any data in the record is changed, it cannot be guaranteed. It is also possible for this date to be updated even if there is no data change reflected in the data in the extract.
Files will contain historic data as well as current data. Thus the status field needs to be checked to confirm the currency of the data.
Register Administration
4.1 Updates
The FSA updates its own internal database system during its normal daily operations. These updates include changes in a firm's status (normally on the same day that they become effective) and names and address changes, the majority of which should be applied within 72 hours of the FSA being notified. The FSA Register on the Internet is rebuilt from the FSA's internal database each evening.
4.2 Extract Production
In order to allow for the production and despatch of the extracts, the data is extracted each Thursday evening. These master files, in ASCII format, are then supplied to our copy bureau for formatting and replication and are despatched by them overnight on the first working day of the following week. In normal circumstances, you should receive the data on the Tuesday morning following the extract (Wednesdays for overseas customers). For monthly customers this will be the first Tuesday of the month.
4.3 FSA Firm Reference Numbers
Each entry on the FSA internal database is allocated the next vacant number when it is added to the system. The reference numbers allocated to authorised firms are not necessarily consecutive because not all firms that apply to the FSA for authorisation complete the authorisation process.
When a firm undergoes a change of legal status, a new legal entity may be created. The new legal entity will be required to apply for a brand new authorisation and will, therefore, be allocated a new reference number. The original entity will have its authorisation cancelled. This is not required for firms that change legal status from Limited to PLC, or vice versa and for some changes to Partnerships, provided that the entity does not change. The policy of some previous regulators, whereby an organisation had a one-to-one relationship with its firm reference number, no longer applies. Previously, an organisation would retain the same number irrespective of whether it moved, changed its name, moved regulator, became incorporated or returned to being authorised following a non-authorisation period.
4.4 FSA Individual References
Each entry on the FSA internal database is allocated a unique reference. The reference is unique for an individual and should be retained by that individual throughout their regulated career.
4.5 Deletion of Records
The Act allows FSA to remove records from the Register when it considers fit. This has generally been defined as six years after the entry became no longer authorised. This rule is changed at FSA's discretion. Currently, the only circumstances causing records to be deleted is where the record has appeared in error. Whilst the records will not normally be deleted from the Register, the FSA may remove them from the extract files, if file sizes become excessive. This will not be less than one year after the entry has ceased to be authorised.
This Page Left Blank
APPENDICES
Magnetic Tape Files Structure
The data is available in two basic formats. EBCDIC coded data in fixed length records with no record separators and ASCII data with variable length fields and field and record separators. The separators are the split vertical bar (ASCII code 124) for field separators and the standard carriage return and line feed combination (code 013/010) for record separators.
The standard extract will contain the following files:
Authorisation File in FSA Reference Number order. Contains around 24,500 authorised firm's records plus 30,000 appointed reps (including introducers).
Permissions File in Activity order within FSA Reference Number order. Around 1,070,000 records. Ended Activities are retained in file for six months.
Products File in FSA Reference Number order. Around 2,000 schemes.
Alternative Name files in FSA Reference Number order. Over 33,000 names.
Appointments file in FSA Reference Number order. Approximately 64,000 relationships.
Sub Status Codes in FSA Reference Number Order
The enhanced extract, including data on approved individuals, adds three further files:
Individuals File in FSA Individual Reference Number order. Contains around basic details of around 165,000 approved persons. These may be corporate persons in rare cases.
Controlled Functions File in FSA Individual Reference Number order. Around 675,000 controlled function involvements for individuals in relation to authorised firms.
Employment details File in FSA Individual Reference Number order. Around 50,000 employment involvements for individuals in relation to appointed representative firms.
The EBCDIC files have fixed length record and fixed length blocks. The sizes are:
File |
Record Size |
EBCDIC Tapes |
|
|
|
Block Size |
Records Per Block |
Authorisation |
745 |
32035 |
43 |
Permissions |
72 |
32760 |
455 |
Alt. Name |
294 |
32634 |
111 |
Product |
499 |
32435 |
65 |
Appointments |
80 |
32720 |
409 |
Sub Status Codes |
83 |
32702 |
394 |
Individuals |
165 |
32670 |
198 |
Cntrld Fncts |
42 |
32760 |
780 |
Employment |
42 |
32760 |
780 |
Firm Authorisation File (VCFSA.LIVE.AUT001)
Name |
Type |
Max. Length |
Notes |
Header Record |
|||
Header Identification |
Alpha Numeric |
6 |
Value “Header” |
File Title |
Alpha Numeric |
18 |
Value “Firm Authorisation” |
Date Produced |
Date |
8 |
YYYYMMDD |
Time Produced |
Time |
4 |
HHMM in 24 hour format |
Firm Data |
|||
FSA Firm Ref. |
Numeric |
7 |
|
Registered Firm Name |
Alpha Numeric |
130 |
|
Firm Legal Status Type code |
Alpha Numeric |
3 |
See annex C.1.1 |
Firm Type code |
Alpha Numeric |
3 |
See annex C.1.2 |
Authority To Hold Client Money |
Alpha Numeric |
1 |
Y/N/X/Z or blank |
Principal Address Line 1 |
Alpha Numeric |
50 |
|
Principal Address Line 2 |
Alpha Numeric |
50 |
|
Principal Address Line 3 |
Alpha Numeric |
50 |
|
Principal Address Line 4 |
Alpha Numeric |
50 |
|
Principal Address Line 5 |
Alpha Numeric |
50 |
|
Principal Address Line 6 |
Alpha Numeric |
50 |
|
Post Code Out |
Alpha Numeric |
4 |
|
Post Code In |
Alpha Numeric |
3 |
|
Telephone No - Country Prefix |
Alpha Numeric |
5 |
|
Telephone No - Area Code |
Alpha Numeric |
10 |
|
Telephone No - Local Number |
Alpha Numeric |
30 |
|
Fax - Country Prefix |
Alpha Numeric |
5 |
|
Fax - Area Code |
Alpha Numeric |
10 |
|
Fax - Local Number |
Alpha Numeric |
30 |
|
Current Authorisation Status code |
Alpha Numeric |
50 |
See annex C.1.3 |
Date Status Last Changed |
Date |
8 |
YYYYMMDD |
Date first Authorised by Regulator |
Date |
8 |
YYYYMMDD |
Sort Key |
Alpha Numeric |
130 |
|
Last Update Date |
Date |
8 |
YYYYMMDD |
Trailer Record |
|||
Trailer Identification |
Alpha Numeric |
6 |
Value “Footer” |
Number of Data records |
Numeric |
8 |
|
Firm Permission File (VCFSA.LIVE.PER001)
Name |
Type |
Max. Length |
Notes |
Header Record |
|||
Header Identification |
Alpha Numeric |
6 |
Value “Header” |
File Title |
Alpha Numeric |
15 |
Value "Firm Permission" |
Date Produced |
Date |
8 |
YYYYMMDD |
Time Produced |
Time |
4 |
HHMM in 24 hour format |
Firm Permission Data |
|||
FSA Firm Ref. |
Numeric |
7 |
|
Regulated Activity code |
Alpha Numeric |
15 |
See annex C.5.1 |
Investment Type code |
Alpha Numeric |
15 |
See annex C.5.2 |
Customer Type code |
Alpha Numeric |
15 |
See annex C.5.3 |
Status code |
Alpha Numeric |
4 |
See annex C.5.4 |
Effective Date |
Date |
8 |
YYYYMMDD |
Last Update Date |
Date |
8 |
YYYYMMDD |
Trailer Record |
|||
Trailer Identification |
Alpha Numeric |
6 |
Value “Footer” |
Number of Data records |
Numeric |
8 |
|
Alternative Firm Name File (VCFSA.LIVE.ALT001)
Name |
Type |
Max. Length |
Notes |
Header Record |
|||
Header Identification |
Alpha Numeric |
6 |
Value “Header” |
File Title |
Alpha Numeric |
21 |
Value “Alternative Firm Name” |
Date Produced |
Date |
8 |
YYYYMMDD |
Time Produced |
Time |
4 |
HHMM in 24 hour format |
Alternative Firm Name Data |
|||
FSA Firm Ref. |
Numeric |
7 |
|
Alternative Name |
Alpha Numeric |
130 |
|
Alternative Name Type code |
Alpha Numeric |
3 |
See annex C.2.1 |
Effective Date |
Date |
8 |
YYYYMMDD |
End Date |
Date |
8 |
YYYYMMDD |
Sort Key |
Alpha Numeric |
130 |
|
Last Update Date |
Date |
8 |
YYYYMMDD |
Trailer Record |
|||
Trailer Identification |
Alpha Numeric |
6 |
Value “Footer” |
Number of Data records |
Numeric |
8 |
|
Product Authorisation File (VCFSA.LIVE.PRO001)
Name |
Type |
Max. Length |
Notes |
Header Record |
|||
Header Identification |
Alpha Numeric |
6 |
Value “Header” |
File Title |
Alpha Numeric |
21 |
Value “Product Authorisation” |
Date Produced |
Date |
8 |
YYYYMMDD |
Time Produced |
Time |
4 |
HHMM in 24 hour format |
Product Authorisation Data |
|||
FSA Product Ref. |
Numeric |
7 |
|
Product Name |
Alpha Numeric |
80 |
|
Product Description |
Alpha Numeric |
200 |
|
Product Legal Form |
Alpha Numeric |
50 |
|
Current Product Status |
Alpha Numeric |
50 |
|
Date Status Last Changed |
Date |
8 |
YYYYMMDD |
Date First Authorised By Regulator |
Date |
8 |
YYYYMMDD |
Operator FSA Firm Ref. |
Alpha Numeric |
7 |
|
Sub-Fund Flag |
Alpha Numeric |
1 |
|
Sort Key |
Alpha Numeric |
80 |
|
Last Update Date |
Date |
8 |
YYYYMMDD |
Trailer Record |
|||
Trailer Identification |
Alpha Numeric |
6 |
Value “Footer” |
Number of Data records |
Numeric |
8 |
|
Appointments File (VCFSA.LIVE.APP001)
Name |
Type |
Max. Length |
Notes |
Header Record |
|||
Header Identification |
Alpha Numeric |
6 |
Value “Header” |
File Title |
Alpha Numeric |
24 |
Value “Appointments” |
Date Produced |
Date |
8 |
YYYYMMDD |
Time Produced |
Time |
4 |
HHMM in 24 hour format |
Appointment Data |
|||
Appointed Representative FSA Firm Ref. |
Numeric |
7 |
|
Principal FSA Firm Ref. |
Numeric |
7 |
|
Status code |
Alpha Numeric |
50 |
See annex C.4.1 |
Status Effective Date |
Date |
8 |
YYYYMMDD |
Last Update Date |
Date |
8 |
YYYYMMDD |
Trailer Record |
|||
Trailer Identification |
Alpha Numeric |
6 |
Value “Footer” |
Number of Data records |
Numeric |
8 |
|
Sub Status Codes File (VCFSALIVE.SUB001) Available from November 2006
Name |
Type |
Max. Length |
Notes |
Header Record |
|||
Header Identification |
Alpha Numeric |
6 |
Value “Header” |
File Title |
Alpha Numeric |
15 |
Firm Sub Status |
Date Produced |
Date |
8 |
YYYYMMDD |
Time Produced |
Time |
4 |
HHMM in 24 hour format |
Sub Status Code Data |
|||
FSA Firm Ref. |
Numeric |
7 |
|
Sub Status Code (current) |
Numeric |
2 |
See C.6.1 |
Effective Date |
Date |
8 |
YYYYMMDD |
Status Code |
Alpha |
50 |
See C.1.3 |
Status Effective Date |
Date |
8 |
YYYYMMDD |
Last Update Date |
Date |
8 |
YYYYMMDD |
Individuals Basic Details (VCFSA.LIVE.IBD0001)
Name |
Type |
Max. Length |
Notes |
Header Record |
|||
Header Identification |
Alpha Numeric |
6 |
Value “Header” |
File Title |
Alpha Numeric |
27 |
Value “Approved Individual Details” |
Date Produced |
Date |
8 |
YYYYMMDD |
Time Produced |
Time |
4 |
HHMM in 24 hour format |
Individual Data |
|||
FSA Individual Ref. |
Alpha+Numeric |
8 |
Format AAA99999 |
Full Name |
Alpha |
70 |
Title/forename/ surname |
NI Number |
Alpha Numeric |
9 |
Blank: data protection |
Date of birth |
Date |
8 |
Blank: data protection |
Status code |
Numeric |
2 |
See annex C.7.1 |
Sortkey |
Alpha |
60 |
Surname/Forename |
Last Update Date |
Date |
8 |
YYYYMMDD |
Trailer Record |
|||
Trailer Identification |
Alpha Numeric |
6 |
Value “Footer” |
Number of Data records |
Numeric |
8 |
|
Individuals Controlled Function Details (VCFSA.LIVE.ICF0001)
Name |
Type |
Max. Length |
Notes |
Header Record |
|||
Header Identification |
Alpha Numeric |
6 |
Value “Header” |
File Title |
Alpha Numeric |
40 |
Value “Approved Individual Controlled Functions” |
Date Produced |
Date |
8 |
YYYYMMDD |
Time Produced |
Time |
4 |
HHMM in 24 hour format |
Control Function details |
|||
FSA Individual Ref. |
Alpha+Numeric |
8 |
Format AAA99999 |
FSA Firm ref |
Numeric |
7 |
Authorised firm |
Function code |
Numeric |
3 |
See annex C.8.1 |
FSA Approved Date |
Date |
8 |
YYYYMMDD |
End Date |
Date |
8 |
YYYYMMDD - null for current function |
Last Update Date |
Date |
8 |
YYYYMMDD |
Trailer Record |
|||
Trailer Identification |
Alpha Numeric |
6 |
Value “Footer” |
Number of Data records |
Numeric |
8 |
|
Individuals Employment Details (VCFSA.LIVE.IED0001)
Name |
Type |
Max. Length |
Notes |
Header Record |
|||
Header Identification |
Alpha Numeric |
6 |
Value “Header” |
File Title |
Alpha Numeric |
40 |
Value “Approved Individual Appointments” |
Date Produced |
Date |
8 |
YYYYMMDD |
Time Produced |
Time |
4 |
HHMM in 24 hour format |
Employment details |
|||
FSA Individual Ref. |
Alpha+Numeric |
8 |
Format AAA99999 |
FSA Firm ref |
Numeric |
7 |
Appointed rep firm |
Status code |
Numeric |
2 |
See annex C.9.1 |
Start Date |
Date |
8 |
YYYYMMDD |
End Date |
Date |
8 |
YYYYMMDD - null for current employment |
Last Update Date |
Date |
8 |
YYYYMMDD |
Trailer Record |
|||
Trailer Identification |
Alpha Numeric |
6 |
Value “Footer” |
Number of Data Records |
Numeric |
8 |
|
Noise Words
The following table lists the noise words that are removed from text to create the sort key:
AG |
AND |
CO |
COMPANY |
CORPORATION |
BV |
CITY |
GMBH |
HON |
INC |
DR |
ESQ |
SIR |
SOC |
MRS |
INCORPORATED |
NV |
SA |
THE |
WS |
MS |
NA |
SONS |
LTD |
MR |
PARTNERSHIP |
PLC |
LIMITED |
OF |
PARTNERS |
SOCIETY |
SON |
|
|
|
Relationship Map
Sub Status
Code Values
Each of the files has a number of 'codes' in each record. The following tables give the possible values of these codes and where appropriate, an explanation of these values.
C.1 FIRMS FILE
C.1.1 Firm Legal Status Type
Tape Code |
Description |
1 |
Company Limited by Share Capital |
2 |
UK Co Incorporated by Special Act/Royal Charter |
3 |
Sole Trader |
4 |
PLC |
5 |
Limited |
6 |
Incorporated under Industrial and Provident Act 1965 |
7 |
Not Migrated |
8 |
Not Supplied |
11 |
Company Limited by Guarantee with Share Capital |
12 |
Company Limited by Guarantee with No Share Capital |
14 |
UK body created by Special Act/Royal Charter |
21 |
Unincorporated Body |
22 |
Trust |
23 |
Partnership |
24 |
Limited Partnership |
29 |
Not Yet Formed |
30 |
Private Unlimited Company |
32 |
Multi National Entity via Tin Marketing Board |
34 |
Municipality or State e.g. New South Wales |
42 |
Limited Liability Partnership |
43 |
Registered under Industrial & Provident Society Act 1965 and Credit Union Act 1979 |
44 |
Incorporated under the Building Societies Act 1986 |
45 |
Incorporated under the Friendly Societies Act 1992 |
46 |
Registered under the Friendly Societies Act 1974 |
47 |
Registered as overseas company by Companies House |
48 |
European Public Limited Liability Company (SE) |
49 |
Registered - Other Company Type by Companies House |
50 |
Overseas firm incorporated |
51 |
Overseas firm unincorporated |
|
|
C.1.2 Firm Type
Tape Code |
Description |
|
Tape Code |
Description |
1 |
Regulated |
|
12 |
Trustee/Depositary |
2 |
Branch (UK) of a Overseas Firm |
|
13 |
UK Representative |
3 |
Branch (Overseas) of a UK Firm |
|
14 |
Accountancy |
4 |
Services (Overseas) of a UK Firms |
|
15 |
Auditor |
5 |
Services (UK) of an Overseas Firm |
|
16 |
Clearing House |
6 |
Appointed Representative |
|
17 |
Law |
7 |
ACD |
|
18 |
ICVC |
8 |
Manager |
|
19 |
Controller |
9 |
Trustee |
|
20 |
Exchange |
10 |
Depositary |
|
21 |
Not Specified |
11 |
Operator |
|
27 |
Introducer Appointed Rep |
|
|
|
29 |
Tied Agent (W.E.F 01/11/07) |
C.1.3 Current Authorisation Status
Tape Value |
Description |
Authorised |
Firm with an authorised Part IV Permission |
Registered |
Firm which we hold details about but which do not have a Part IV Permission - mainly appointed reps or former appointed reps |
EEA Authorised |
Firm authorised by an EEA regulator and passporting into the UK under one of the following directives: BCD, ISD, 3LD, 3NLD, IMD, UCITSMD |
Suspended |
Firm whose Permission has not been cancelled, but which needs to suspend certain or all activities for a period of time (N.B. this status is being phased out) |
Resigned |
Replaced by cancelled - see cancelled for definition. |
Cancelled |
Firm which has had its Part IV Permission cancelled through the normal resignation process. |
Revoked |
Firm which has had its Part IV Permission cancelled through disciplinary action by the FSA. |
C.2 ALTERNATIVE NAME FILE
C.2.1 Alternative Name Type
Tape Code |
Description |
1 |
Registered Name |
2 |
Trading Name |
3 |
Common Name |
C.3 PRODUCT AUTHORISATION FILE
C.3.1 Product Legal Form
Authorised Unit Trust |
Offshore OEIC |
SICAV |
Offshore Unit Trust |
FCP |
ICVC |
Not Supplied |
C.3.2 Current Product Status
Application Logged |
Under Assessment |
Authorised |
Rejected |
Withdrawn |
Terminated |
Recognised |
Not Migrated |
C.3.3 Sub Fund Flag
Y - sub funds exist or N has no subfunds
C.4 APPOINTMENTS FILE
C.4.1 Status
Notified |
Current Appointment |
Registered |
|
Withdrawn |
Previous Appointment |
Terminated |
|
C.5 FIRM PERMISSION FILE
C.5.1 Regulated Activity
Tape Code |
Category of Activity |
Activity Description |
0 |
ISD |
Dummy activity for certain ISD investments |
1 |
Accepting Deposits |
Accepting Deposits |
2 |
Insurance Business |
Effecting contracts of insurance |
3 |
Insurance Business |
Carrying out contracts of insurance |
4 |
Investment Business |
Establishing, operating or winding up a regulated collective investment scheme |
5 |
Investment Business |
Establishing, operating or winding up an unregulated collective investment scheme |
6 |
Investment Business |
Acting as trustee of an authorised unit trust scheme |
8 |
Investment Business |
Acting as the depositary or sole director of an open-ended investment company |
9 |
Investment Business |
Establishing, operating or winding up a stakeholder pension |
10 |
Providing Basic Advice |
Providing Basic Advice on Stakeholder products |
12 |
Investment Business |
Dealing in investments as principal |
13 |
Investment Business |
Dealing in investments as agent |
14 |
Investment Business |
Arranging (bringing about) deals in investments |
15 |
Investment Business |
Making arrangements with a view to transactions in investments |
16 |
Investment Business |
Safeguarding and administration of assets (without arranging) |
17 |
Investment Business |
Arranging safeguarding and administration of assets |
18 |
Investment Business |
Sending dematerialised instructions |
19 |
Investment Business |
Causing dematerialised instructions to be sent |
20 |
Investment Business |
Managing investments |
21 |
Investment Business |
Advising on investments (except on Pension Transfers and Pension Opt Outs) |
22 |
Investment Business |
Advising on Pension Transfers and Pension Opt Outs |
23 |
LLoyds Market |
Advising on syndicate participation at Lloyd's |
24 |
LLoyds Market |
Managing the underwriting capacity of a Lloyd's syndicate as a managing agent at Lloyd's |
25 |
Society of Lloyds |
Arranging deals in contracts of insurance written at Lloyd's |
26 |
Society of Lloyds |
Arranging deals in participation in Lloyd's syndicates |
27 |
Society of Lloyds |
Activity carried on in connection with, or for the purpose of, arranging deals in contracts of insurance at Lloyd's or in participation in Lloyd's syndicates |
28 |
Funeral Plan Providers |
Entering as provider into a funeral plan contract |
29 |
ISD |
Core 1(a) - Reception and transmission, on behalf of investors, of orders in relation to one or more ISD instruments |
30 |
ISD |
Core 1(b) - Execution of such orders other than for own account |
31 |
ISD |
Core 2 - Dealing in any of the ISD instruments for own account |
32 |
ISD |
Core 3 - Managing portfolios in accordance with mandates given by investors on a discretionary, client-by-client-basis where such portfolios include ISD instruments |
33 |
ISD |
Core 4 - Underwriting in respect of issues of ISD instruments and/or placing of such issues |
34 |
ISD |
Non-Core 1 - Safekeeping and administration in relation to one or more ISD instruments |
35 |
ISD |
Non-Core 2 - Safe custody services |
36 |
ISD |
Non-Core 3 - Granting credits or loans to an investor to allow him to carry out a transaction in an ISD instrument where the firm granting the credit or loan is involved in the transaction |
37 |
ISD |
Non-Core 4 - Advice to undertakings on capital structure, industrial strategy and related matters and advice and service relating to mergers and the purchase of undertakings |
38 |
ISD |
Non-Core 5 - Services related to underwriting |
39 |
ISD |
Non-Core 6 - Investment advice concerning one or more ISD instruments |
40 |
ISD |
Non-Core 7 - Foreign-exchange services where these are connected with the provision of investment services |
41 |
2BCD |
1 - Acceptance of deposits and other repayable funds from the public |
42 |
2BCD |
2 - Lending including consumer credit, mortgage credit, factoring and financing of commercial transactions |
43 |
2BCD |
3 - Financial leasing |
44 |
2BCD |
4 - Money transmission services |
45 |
2BCD |
5 - Issuing and administering means of payment |
46 |
2BCD |
6 - Guarantees and commitments |
47 |
2BCD |
7a - Trading for own account or for account of customers - money market instruments (cheques, bills, CDs etc) |
48 |
2BCD |
8 - Participation in securities issues and the provision of services related to such issues |
49 |
2BCD |
9 - Advice to undertakings on capital structure, industrial strategy and related questions and advice and services relating to mergers and the purchase of undertakings |
50 |
2BCD |
10 - Money broking |
51 |
2BCD |
11 - Portfolio management and advice |
52 |
2BCD |
12 - Safekeeping and administration of securities |
53 |
2BCD |
13 - Credit reference services |
54 |
2BCD |
14 - Safe custody services |
55 |
3rd Life |
I - Life and annuity assurance |
56 |
3rd Life |
II - Marriage assurance and birth insurance |
57 |
3rd Life |
III - Linked long term assurance |
58 |
3rd Life |
IV - Permanent health insurance |
59 |
3rd Life |
V - Tontines |
60 |
3rd Life |
VI - Capital redemption operations |
61 |
3rd Life |
VII - Management of group pension funds |
62 |
3rd Life |
VIII - Collective |
63 |
3rd Life |
IX - Social |
64 |
3rd Non-Life |
1 - Accident |
65 |
3rd Non-Life |
2 - Sickness |
66 |
3rd Non-Life |
3 - Land vehicles (excluding railway rolling stock) |
67 |
3rd Non-Life |
4 - Railway rolling stock |
68 |
3rd Non-Life |
5 - Aircraft |
69 |
3rd Non-Life |
6 - Ships (sea, lake, river and canal vessels) |
70 |
3rd Non-Life |
7 - Goods in transit (including merchandise, baggage and all other goods) |
71 |
3rd Non-Life |
8 - Fire and natural forces |
72 |
3rd Non-Life |
9 - Other damage to property |
73 |
3rd Non-Life |
10 - Motor vehicle liability |
74 |
3rd Non-Life |
11 - Aircraft liability |
75 |
3rd Non-Life |
12 - Liability for ships (sea, lake, river and canal vessels) |
76 |
3rd Non-Life |
13 - General liability |
77 |
3rd Non-Life |
14 - Credit |
78 |
3rd Non-Life |
15 - Suretyship |
79 |
3rd Non-Life |
16 - Miscellaneous financial loss |
80 |
3rd Non-Life |
17 - Legal expenses |
81 |
3rd Non-Life |
18 - Assistance |
90 |
Investment Business |
Agreeing to carry on a regulated activity |
91 |
Lloyds Markets |
Agreeing to carry on a regulated activity |
92 |
Funeral Plan Providers |
Agreeing to carry on a regulated activity |
93 |
Regulated Mortgages |
Entering into a regulated mortgage contract as lender |
94 |
Regulated Mortgages |
Administering a regulated mortgage contract |
95 |
Lloyds Market |
Arranging (bringing about) deals in investments |
96 |
Lloyds Market |
Making arrangements with a view to transactions in investments |
97 |
2BCD |
7b - Trading own a/c or cust a/c-foreign exchange |
98 |
2BCD |
7c - Trading own a/c or cust a/c-fin futures/opts |
99 |
2BCD |
7d - Trading own a/c or cust a/c-exch/int rate ins |
100 |
2BCD |
7e - Trading own a/c or cust a/c-trans securities |
101 |
e-money |
Issuing electronic money |
102 |
GI |
Advising on investments (except on Pension Transfers and Pension Opt Outs) |
103 |
GI |
Arranging (bringing about) deals in investments |
104 |
GI |
Assisting in the administration and performance of a contract of insurance |
105 |
GI |
Dealing in investments as agent |
106 |
GI |
Making arrangements with a view to transactions in investments |
107 |
Regulated Mortgages |
Advising on regulated mortgage contracts |
108 |
Regulated Mortgages |
Arranging (bringing about) regulated mortgage contracts |
109 |
Regulated Mortgages |
Making arrangements with a view to regulated mortgage contracts |
110 |
UMD |
Management of unit trusts/common funds/investment companies |
111 |
UMD |
Management of portfolios of investments |
112 |
UMD |
Investment Advice |
113 |
UMD |
Safekeeping and administration of units of collective investment undertakings |
114 |
IMD |
Insurance mediation or Reinsurance Mediation |
115 |
|
Agreeing to carry on a regulated activity and associated limitation |
116 |
|
Agreeing to carry on a regulated activity and associated limitation |
117 |
Mortgage |
Dealing in investments as principal |
118 |
Investment Business |
Operating a Multilateral Trading Facility (MTF) (W.E.F 01/11/07) |
119 |
SIPPS |
Establishing/operating/winding up a personal pension scheme |
120 |
Home Reversions |
Advising on a home reversion plan |
121 |
Home Reversions |
Arranging (bringing about) a home reversion plan |
122 |
Home Reversions |
Making arrangements with a view to a home reversion plan |
123 |
Home Reversions |
Entering into a home reversion plan |
124 |
Home Reversions |
Administering a home reversion plan |
125 |
Home Purchase Plans |
Advising on a home purchase plan |
126 |
Home Purchase Plans |
Arranging (bringing about) a home purchase plan |
127 |
Home Purchase Plans |
Making arrangements with a view to a home purchase plan |
128 |
Home Purchase Plans |
Entering into a home purchase plan |
129 |
Home Purchase Plans |
Administering a home purchase plan |
130 |
MiFID |
A1 - Receive/Transmit orders (W.E.F 01/11/07) |
131 |
MiFID |
A2 - Execution of orders (W.E.F 01/11/07) |
132 |
MiFID |
A3 - Dealing on own account (W.E.F 01/11/07) |
133 |
MiFID |
A4 - Portfolio management (W.E.F 01/11/07) |
134 |
MiFID |
A5 - Investment Advice (W.E.F 01/11/07) |
135 |
MiFID |
A6 - Underwriting (W.E.F 01/11/07) |
136 |
MiFID |
A7 - Placing of fin inst w/o commitment (W.E.F 01/11/07) |
137 |
MiFID |
A8 - Operation of MTF (W.E.F 01/11/07) |
138 |
MiFID |
B1 - Safekeeping/safe custody (W.E.F 01/11/07) |
139 |
MiFID |
B2 - Granting credits/loans (W.E.F 01/11/07) |
140 |
MiFID |
B3 - Advice to undertakings on cap structure (W.E.F 01/11/07) |
141 |
MiFID |
B4 - Foreign exchange services (W.E.F 01/11/07) |
142 |
MiFID |
B5 - Investment Research (W.E.F 01/11/07) |
143 |
MiFID |
B6 - Services related to underwriting (W.E.F 01/11/07) |
144 |
MiFID |
B7 - Ancillary services (W.E.F 01/11/07) |
145 |
2BCD |
15 - Additional MiFID services and activities subject to mutual recognition under BCD (W.E.F 01/11/07) |
146 |
Reinsurance |
Life (W.E.F 10/12/07) |
147 |
Reinsurance |
Non-Life (W.E.F 10/12/07) |
1001 |
Appointed Rep |
Indicates an Appointed rep, whose principal has informed the FSA, that undertakes insurance mediation business |
1002 |
Tied Agent |
Where an appointed representative is carrying out MiFID business in the UK (W.E.F 01/11/07) |
NOTE: 102 -106 will be used for purely GI firms. Where a firm does GI in addition to investment business they will be replaced by activities 13, 14, 15 and 21 as appropriate.
1001 is a pseudo activity record used to indicate an area of business that has been notified to the FSA
1002 is a pseduo activity record used to indicate an area of business that has been notified to the FSA
C.5.2 Investment Type
Tape Code |
Category of Investment |
Investment Description |
1 |
Accepting Deposits |
Deposit |
2 |
General Insurance |
Accident |
3 |
General Insurance |
Sickness |
4 |
General Insurance |
Land Vehicles |
5 |
General Insurance |
Railway rolling stock |
6 |
General Insurance |
Aircraft |
7 |
General Insurance |
Ships |
8 |
General Insurance |
Goods in transit |
9 |
General Insurance |
Fire and natural forces |
10 |
General Insurance |
Damage to property |
11 |
General Insurance |
Motor vehicle liability |
12 |
General Insurance |
Aircraft liability |
13 |
General Insurance |
Liability for ships |
14 |
General Insurance |
General liability |
15 |
General Insurance |
Credit |
16 |
General Insurance |
Suretyship |
17 |
General Insurance |
Miscellaneous financial loss |
18 |
General Insurance |
Legal expenses |
19 |
General Insurance |
Assistance |
20 |
Long Term Insurance |
Life and annuity |
21 |
Long Term Insurance |
Marriage and birth |
22 |
Long Term Insurance |
Linked long-term |
23 |
Long Term Insurance |
Permanent health |
24 |
Long Term Insurance |
Tontines |
25 |
Long Term Insurance |
Capital redemption |
26 |
Long Term Insurance |
Pension fund management |
27 |
Long Term Insurance |
Collective insurance |
28 |
Long Term Insurance |
Social insurance |
31 |
Security |
Share |
32 |
Security |
Debenture |
33 |
Security |
Government and public security |
34 |
Security |
Warrant |
35 |
Security |
Certificates representing certain security |
36 |
Security |
Unit |
37 |
Contractually Based Investments |
Option (excluding a commodity option and an option on a commodity future) |
38 |
Contractually Based Investments |
Commodity option and option on commodity future |
39 |
Contractually Based Investments |
Future (excluding a commodity future and a rolling spot forex contract) |
40 |
Contractually Based Investments |
Commodity Future |
41 |
Contractually Based Investments |
Contract for Differences (excluding a spread bet and a rolling spot forex contract) |
42 |
Contractually Based Investments |
Spread Bet |
43 |
Contractually Based Investments |
Rolling spot forex contract |
44 |
Contractually Based Investments |
Life Policy |
45 |
Lloyd's Market |
Underwriting capacity of a Lloyd's syndicate |
46 |
Lloyd's Market |
Membership of a Lloyd's syndicate |
47 |
ISD |
1(a) - Transferable securities |
48 |
ISD |
1(b) - Units in collective investment undertakings |
49 |
ISD |
2 - Money-market instruments |
50 |
ISD |
"3 - Financial futures contracts, including equivalent cash-settled instruments" |
51 |
ISD |
4 - Forward interest-rate agreements (FRAs) |
52 |
ISD |
"5 - Interest rate, currency and equity swaps" |
53 |
ISD |
"6 - Options to acquire or dispose of any ISD instruments, including equivalent cash-settled investments" |
63 |
Security |
Stakeholder pension scheme |
64 |
Security |
Rights to or interests in investments (Security) |
65 |
Contractually Based Investments |
Funeral plan contract |
66 |
Regulated Mortgages |
Regulated mortgage contract |
67 |
Contractually Based Investments |
Rights to or interests in investments (Contractually Based Investments) |
68 |
Lloyd's Market |
Rights to or interests in investments |
69 |
Funeral Plan |
Funeral plan contract |
70 |
Lloyd's Market |
Contracts of insurance |
71 |
Lloyd's Market |
Lloyd's syndicate capacity and syndicate membership |
72 |
e-money |
Issuing Electronic Money |
73 |
Contractually Based Investments |
Non-investment insurance contracts |
74 |
Stakeholder Products |
Stakeholder Products (e.g. the stakeholder pension, medium-term investment product, stakeholder child trust fund and stakeholder deposit |
75 |
SIPPS |
Personal Pension scheme |
76 |
Home Reversions |
Home reversion plans |
77 |
Home Purchase Plans |
Home purchase plans |
78 |
Financial Instruments |
C1 - Transferable securities (W.E.F 01 NOV 07) |
79 |
Financial Instruments |
C2 - Money-market instruments (W.E.F 01 NOV 07) |
80 |
Financial Instruments |
C3 - Units in collective investment undertakings (W.E.F 01 NOV 07) |
81 |
Financial Instruments |
C4 - Derivatives in Securities (W.E.F 01 NOV 07) |
82 |
Financial Instruments |
C5 - Commodities Derivatives - Cash settled (W.E.F 01 NOV 07) |
83 |
Financial Instruments |
C6 - Commodities Derivatives - Physically Settled (W.E.F 01 NOV 07) |
84 |
Financial Instruments |
C7 - Non-Commerical commodity Derivatives (W.E.F 01 NOV 07) |
85 |
Financial Instruments |
C8 - Credit Derivatives (W.E.F 01 NOV 07) |
86 |
Financial Instruments |
C9 - Contracts for Differences (W.E.F 01 NOV 07) |
87 |
Financial Instruments |
C10 - Other contracts (W.E.F 01 NOV 07) |
C.5.3 Customer Type
Tape Code |
Description |
Comment |
1 |
Private Customer |
|
2 |
Intermediate Customer |
|
3 |
Market Counterparty |
|
4 |
All |
|
5 |
Retail (Non-Investment Insurance) |
Non-investment insurance only |
6 |
Commercial |
Non-investment insurance only |
7 |
Customer |
Mortgage contracts only |
8 |
Retail (Investment) |
W.E.F 01 NOV 07 |
9 |
Professional |
W.E.F 01 NOV 07 |
10 |
Eligible Counterparty |
W.E.F 01 NOV 07 |
C.5.4 Status
Tape Code |
Description |
Comment |
3 |
Withdrawal Requested |
Transitory - whilst a firm is actually being processed |
4 |
Authorised |
|
5 |
Withdrawn |
|
6 |
Resignation Applied For |
Transitory - whilst a firm is actually being processed |
7 |
Resigned |
|
12 |
Converted |
Converted to new MiFID activity (W.E.F 01 Nov 07) |
C.6 Sub Status Code File (Available from November 2006)
C.6.1 Status
Tape Code |
Description |
1 |
Applied to Cancel |
2 |
In liquidation |
4 |
Closed to New Business |
5 |
Closed to Regulated Business |
7 |
In administration |
9 |
Applied to change Legal Status (w.e.f 01/05/08)
|
10 |
Applied to change Business Type (w.e.f 01/05/08)
|
N.B Codes 3 or 6 do not exist
C.7 Individuals File
C.7.1 Status
Tape Code |
Description |
1 |
Banned |
2 |
Applied |
3 |
Inactive |
4 |
Active |
5 |
Deceased |
C.8 Individuals controlled function file
C.8.1 Function
Tape Code |
Controlled Function |
22 |
CF1 Director |
23 |
CF2 Non Executive Director |
24 |
CF3 Chief Executive |
25 |
CF4 Partner |
26 |
CF5 Director of Unincorporated Association |
27 |
CF6 Small Friendly Society |
28 |
CF7 Sole Trader (ceases to be applied as of 01/02/2007) |
29 |
CF8 Apportionment and Oversight |
30 |
CF10 Compliance Oversight |
31 |
CF11 Money Laundering Reporting |
32 |
CF12 Appointed Actuary |
33 |
CF13 Finance (Converted to CF28 w.e.f 01/11/07) |
34 |
CF14 Risk Assessment (Converted to CF28 w.e.f 01/11/07) |
35 |
CF15 Internal Audit (Converted to CF28 w.e.f 01/11/07) |
36 |
CF16 Significant Mgt (Desgntd Investment Business) ( Converted to CF29 w.e.f. 01/11/07) |
37 |
CF17 Significant Mgt (Other Business Operations) (Converted to CF29 w.e.f 01/11/07) |
38 |
CF18 Significant Mgt (Insurance Underwriting) (Converted to CF29 w.e.f 01/11/07) |
39 |
CF19 Significant Mgt (Financial Resources) (Converted to CF29 w.e.f 01/11/07) |
40 |
CF20 Significant Mgt (Settlements) (Converted to CF29 w.e.f 01/11/07) |
43 |
CF24 Pension Transfer Specialist (Converted to CF30 w.e.f 01/11/07) |
44 |
CF21 Investment Adviser (Converted to CF30 w.e.f 01/11/07) |
45 |
CF22 Investment Adviser (Trainee) (Converted to CF30 w.e.f 01/1107) |
46 |
CF23 Corporate Finance Adviser (Converted to CF30 w.e.f 01/11/ 07) |
47 |
CF25 Adviser on Syndicate Participation at Lloyd's (Converted to CF30 w.e.f 01/11/07) |
48 |
CF26 Customer Trading (Converted to CF30 w.e.f 01/11/07) |
49 |
CF27 Investment Management (Converted to CF30 w.e.f 01/11/07) |
50 |
CF99 Unallocated |
51 |
CF9 EEA Investment Business Oversight |
52 |
CF1 Director (AR) |
53 |
CF4 Partner (AR) |
54 |
CF7 Sole Trader (AR) |
55 |
CF2 Non Executive Director (AR) |
60 |
Responsible for Insurance Mediation (RIM) (not a controlled function) |
56 |
CF12A With-Profits Actuary |
57 |
CF3 Chief Executive (AR) |
58 |
CF5 Director of Unincorporated Association (AR) |
59 |
CF12B Lloyds Actuary Function |
61 |
CF28 Systems and Controls |
62 |
CF29 Significant Management |
63 |
CF30 Customer |
C.9 Individuals Employment file
C.9.1 Status
Tape Code |
Description |
21 |
Employed by |
Data Interpretation
D.1 Introduction
There are basically three sets of data contained in the eight data files. Four files hold information about authorised firms and appointed rep firms, both current and previous. One file contains details of collective investment schemes, both those UK authorised schemes and overseas schemes recognised in the UK. The final three (optional) files provide details of approved individuals. These are again linked to the authorised firms that sponsor them and the appointed representative firm (if any) that they work through. Each of the eight files has a header giving the time and date that the data was extracted from the FSA's internal database. Every record has a field giving the latest date that any data within that record may have been amended.
D.2 Firms
The details for firms are contained in four files, related by the FSA firm's reference number. This number is defined as a seven digit number that is issued sequentially to firms as they are added to the FSA database (not all appear on the Register). The current numbers are six digits only (seven, with a leading zero in fixed record length file format) it is likely to be several years before seven digit numbers are used, but any new systems should allow for seven digit numbers.
The Basic Details file:
This gives the firms current name and principal address (if the firm is no longer regulated this is the name and address it had when it ceased to be regulated), its regulatory status and date this was attained and other basic firm information. Two types of firm are in the file, firms deemed to be authorised (either currently of previously) and appointed representatives (AR). ARs always have a status of Registered and a business type of 'Appointed Representative' or 'Introducer'. This remains the case when it ceases to be a representative. It is essential to check that an AR has a current appointment, i.e. an appointment record with a status of notified or registered.
Each authorised firm will normally have one or more records in the permissions file.
The Permissions file:
This defines the type of activity that the firm has been approved to undertake. Where a firm has changed their main name the old name will be in the names file, as will any trading names that FSA is aware of.
Appointments file:
The appointments file gives the current appointment involvement. It shows the status between an authorised firm and its appointed representatives. Three status values are used: `Notified' is used for those appointments which have not been modified since N2, `Registered' is used for those involvements that have been added or amended since N2 and `Withdrawn' is used for those involvements that are no longer current.
Sub Status Code file:
This file will show those Authorised firms who have a current sub status code. A sub status will give more information on the status of an authorised firm. For example, a firm who has a status of "Authorised", may have a sub status of "In Administration". There are 5 sub status descriptions and these can be found under C.6.1
D.3 Individuals
The individual details are held in three files, each with their own unique individual reference number (IRN). The IRN consists of three letters followed by five digits. The three files are as follows:
Individual Basic Details file:
The basic details file provides the individuals names (title, forename and family name), a sort-code (family name, forename and no spaces). There are two fields, one for date of birth and the other for an individual's NI number, which will remain blank for data protection reasons. This file also provides the individuals current status, active (has current controlled functions) or inactive (no current controlled functions).
Individual Controlled Function Details file:
All controlled functions are approved to the regulated firm including those under Appointed Representative (AR) arrangements.
It is possible for Authorised Firms not to have any active approved persons. For example, sole traders authorised to carry on mortgage and/or general insurance intermediary activities will not necessarily have controlled functions. This may also occur in the period before a firm's authorisation is cancelled and can occasionally occur at other times for various reasons.
Individual Employment Details file:
Where an individual performs one or more controlled functions under an AR arrangement, there will also be an entry in the employment file, showing a link between individual and AR firm.
Introducer ARs should not have an employment link as this type of representative does not require approved persons.
Permissions
E.1 Introduction
From 1 December 2001 (N2) most financial services activities within the UK became regulated by the FSA under the Act, this included those firms that where previously regulated by the PIA, SFA, IMRO, BSC, RFC, HM Treasury (Insurance Directorate), FSA (under the Financial Services Act 1986 and Banking Act), recognised professional bodies and the Society of Lloyds. Each of these firms was granted a 'Part IV' permission. This permission covers the authorisation to undertake one or more regulated activities. Each activity is restricted in three ways. The activity is approved for a specific customer type and for specific types of investments/products. The third type of restriction allows for any specific limitation to be applied. Similarly, a requirement can be placed on the firm's permission as a whole. Currently, the extract does not include details of any Requirement or Limitation (R&L) except for a basic flag indicating whether the firm has authority to hold client money.
The transitional arrangements in the Act meant that any firm authorised under any of the existing legislation prior to N2 would be authorised to undertake precisely the same business after N2 that it was authorised to perform before N2. In general, the current permissions did not match the previous activities very closely. Therefore, firms may have a set of permitted activities which would allow greater scope than before N2 with a limitation on the activity to narrow its scope back to the pre-N2 activity.
Firms that belonged to a recognised professional body (RPB) were given the option to become regulated by the FSA for their investment business. Those professional firms that decided to opt out of the FSA's supervision are still permitted to undertake limited investment business as exempt professional firms (see section 327 of the Act). As they did not opt in for FSA supervision they will not be found on the FSA register. Those that did opt for FSA regulation will have a normal permission although most have a requirement that investment business is incidental to their main professional practice (as it was under the old regime).
The Internet Register has a (separate) register of exempt professional firms (such as solicitors and accountants) that are allowed to undertake some regulated activities as incidental services in addition to their normal professional services. There are no plans to publish this data as part of the extract files.
E.2 Structure of Data
Firms are authorised for specific activities and within each activity they are authorised to deal with various customer types and various investment types. Within any activity the customer and investments may vary. Therefore the date that an activity became authorised could be different to that for a particular customer or investment type. Indeed the status may be different. For this reason there will be several records for each activity. There will be one record specifically for the activity, giving its status and status date. There will be further records for each customer type in relation to that activity giving the status and status date for that 'channel' and further records for each investment type within the activity. There is no correlation between investment type and customer type. All authorised investment types can be handled with all authorised customer types within the same activity.
E.3 Interpretation of Data
The activities are defined in the Regulated Activities Order (statutory Instrument 2001 no. 544 and subsequent amendments). Further explanations and interpretations are available in the FSA Handbook (Authorisation Module and the Supervision Manual, Chapter 10 for approved persons controlled functions), the latest version of which is available on the FSA website (www.fsa.gov.uk).
F Data Usage & Pricing Bands
The cost of subscribing to the Register Extract data will depend on how you will be using our data and how frequent you want to receive updates (Monthly or Weekly), or if you require a single one-off copy. Below is a description of the different data usage categories.
F.1 Compliance Purposes
This band will be relevant to subscribers who want to use the data for compliance purposes in terms of their firm's FSA regulated activities. This band excludes firms who provide compliance services for other firms. It does not, however, preclude firms from using the data for other purposes, provided the use does not fall within the Commercial re-use band (see below).
F.2 Other Own Business
This band will be relevant to subscribers who want to use the data for other activities, other than 'FSA Compliance, but excluding the 'Commercial re-use' purpose below. We envisage uses within this category to include (but not exclusively) marketing exercises, firms who provide compliance services to other firms or who use the information in other ways in the course of their normal business activities (other than where the data is sold by itself or as part of a product or service offered by that firm).
F.3 Commercial Re-Use
This band will typically apply to subscribers who want to sell the data by itself or as part of a product or service offered by that firm.
Prices
Please refer to the Register Extract Order Form for a list of the subscription prices.
Updates
G1: CF7. Following on from Consultation Paper 06/15 and the FSA Policy Statement PS07/03 of January 2007, the Controlled Function CF7 Sole Trader, will cease to be applied as of 1st February 2007. Firms will therefore no longer be required to submit an application for individuals to be approved for this function or to seek a withdrawal of this function after the 1st February 2007. The records of those individuals currently holding the CF7 Sole Trader function will be amended by the FSA throughout February 2007. The status of the function will be changed to show "withdrawn" with an end date of 31st January 2007 and all amendments will be visible on the FSA Register by the end of February 2007.
G2: SIPPS, Home Reversions and Home Purchase Plans. The regulation of Self Invested Personal Pension Schemes (SIPPS), Home Reversion Plans and Home Purchase Plans comes into form on 6 April 2007.The appropriate codes have been added to this handbook. For more information about the regulation of SIPPS, Home Reversions and Islamic law-compliant Home Purchase Plans, please see the relevant Policy Statements:
The regulation of personal pension schemes including SIPPS - Policy Statement (PS06/07)
Regulation of Home Reversion and Home Purchase Plans (Part 1) - Policy Statement (PS06/12)
Regulation of Home Reversion and Home Purchase Plans (Part 2) - Policy Statement (PS06/12)
G3: MiFID (Markets in Financial Instruments Directive). The Markets in Financial Instruments Directive (MiFID) comes into effect on 1 November 2007, when it will replace the existing Investment Services Directive (ISD). The implementation of MiFID will introduce a number of changes to the data that you receive from us via the Register Extract Service (RES). At the same time, the FSA is planning to introduce some changes to the Approved Person regime which will also have an impact on the RES. There will be no changes to the existing structure of the data files.
For more information about the implementation of MiFID, please refer to the FSA's MiFID Permissions and Notifications Guide:
http://www.fsa.gov.uk/pubs/international/mifid_guide.pdf
What is changing in the Register Extract as a result of MiFID?
Regulated activities (regulated activities)
MiFID introduces a new regulated activity of 'operating a multilateral trading facility'. We will be adding this new regulated activity to the RES files.
Firms that are currently authorised to operate an alternative trading system will be automatically authorised to carry on the new regulated activity of operating a multilateral trading facility. This will be evident from the extract as the regulated activity of operating an alternative trading system in the Firm Permission File will have a status of 'converted'.
Client Categorisation (customer types)
MiFID introduces new categories of client: retail client, professional client and eligible counterparty. We will be adding these as new customer types in the RES files.
In most cases, the FSA will automatically map firms' existing customer types to the new MiFID-based client categories. This will be evident from the extract as the old customer type record in the Firm Permission File will have a status of 'converted'.
Passporting (regulated activities and investment types)
The MiFID passporting regime will apply to a broader range of activities, services and financial instruments than the current ISD passporting regime. The new MiFID passports will be added to the RES files in the same way as other passports, by including them as regulated activities (with the relevant financial instruments shown as investment types).
In most cases, the FSA will automatically map firms' ISD passports to the corresponding MiFID equivalent. This will be evident from the extract as the old regulated activity in the Firm Permission File will have a status of 'converted'.
Tied Agents
In the UK, we currently have an appointed representative regime and details about appointed representatives are already provided in the RES files. MiFID introduces a broadly similar regime for tied agents. The UK will operate the MiFID tied agent regime alongside the existing appointed representative regime.
There will be no change to the way appointed representatives are shown in the Firm Authorisation file of the RES. Where an appointed representative is carrying out MiFID business in the UK, the RES will also identify it as a (MiFID) tied agent. Tied agents will be recorded in the Firm Permission file with a pseudo regulated activity (in the same way that appointed representatives who undertake insurance mediation business are identified with a pseudo regulated activity - code 1001).
Where a UK firm uses tied agents established in other European Economic Area (EEA) Member States for the purposes of MiFID, the tied agent will appear as a separate entry in the Firm Authorisation file of the RES. A new Firm Type code will be introduced to identify these EEA Tied Agents. There will also be a corresponding entry in the Appointments File (as with appointed representatives) to link the tied agent to its UK principal firm(s).
What is changing in the Register Extract as a result of reforms to the FSA's Approved Person regime?
In terms of the RES, the changes to the Approved Person regime from 1 November 2007 will lead to the merging of the current:
systems and controls controlled functions (CF13 to CF15) into one (new) generic function (CF28);
significant management controlled functions (CF16 to CF20) into one (new) generic function (CF29); and
customer controlled functions (CF21 to CF27) into one (new) generic function (CF30).
We will be adding these three new controlled functions (CF28 to CF30) to the RES files and the old CF codes will be end dated.
For more information about the changes to the Approved Person regime, please refer to the following FSA publications:
CP06/15: Reforming the Approved Persons Regime
PS07/4: Reforming the Approved Persons regime - Feedback on CP06/15 (Merging the Customer Functions) and final rules
G4: 3MLD - 3rd Money Laundering Directive
The Regulations, which came into effect on 15 December 2007, will implement the requirements of the European Union's Third Money Laundering Directive ('3MLD') in the UK. Information about how the FSA is implementing the Regulations can be found on the FSA's website. You should note that these Regulations will not affect or be incorporated into the Register Extract Data files.
G5: Additional Sub Status Codes
We will be adding 2 new 'sub staus' codes to the existing sub status file firm_sub_statusyyyymmdd (file z). the new codes are as follows and will come into effect from 1st May 2008:
Tape code: 9
Description: 'applied to change legal status'
Tape code: 10
Description: 'applied to change business type'
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APPENDIX B
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APPENDIX E
Permissions
Firm Authorisation
Firm Names
Appointments
Individuals
Individual Controlled Functions
Individual Employment Details
Authorised firms sponsoring approved individuals
Appointed rep firms employing individuals
Authorised firms appointing ARs
Representative Appointed to authorised principal.
Individual working for an appointed rep firm
Individual undertaking a controlled function
Products
Scheme managed by
Sub Status