Nid ydym yn gwybod a yw'r ymateb mwyaf diweddar i'r cais hwn yn cynnwys gwybodaeth neuai peidio - os chi ywSteven Franks mewngofnodwch a gadael i bawb wybod.

FCA General Insurance and Protection (Retail Supervision teams) - staff attrition rates since September 2015

We're waiting for Steven Franks to read recent responses and update the status.

Dear The Financial Conduct Authority,

Please provide a numeric breakdown of the numbers of staff that left the General Insurance & Protection (Retail Supervision) teams between 1 September 2015 and 31 March 2019, to include those staff that left the FCA and also transferred internally to other areas.

Please provide a breakdown by year.

Please provide an organisation chart showing the senior and middle management roles and names that were attached to the Retail Supervision area during the period above.

Yours faithfully,

Stephen Franks

The Financial Conduct Authority

Thank you for e-mailing the Financial Conduct Authority's Information Access Team. This is an automatic acknowledgement to tell you we have received your email safely. Please do not reply to this email. We will be in touch in due course.

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The FCA (or, if this email originates from the Payment Systems Regulator Limited, the FCA on behalf of the Payment Systems Regulator Limited / the Payment Systems Regulator Limited) reserves the right to monitor all email communications for compliance with legal, regulatory and professional standards.

This email is not intended to nor should it be taken to create any legal relations or contractual relationships. This email has originated from the Financial Conduct Authority (FCA), or the Payment Systems Regulator Limited.

The Financial Conduct Authority (FCA) is registered as a limited company in England and Wales No. 1920623. Registered office: 25 The North Colonnade, Canary Wharf, London E14 5HS, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company in England and Wales No. 8970864. Registered office: 25 The North Colonnade, Canary Wharf, London E14 5HS, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment Systems Regulator Limited)

Freedom of Information, The Financial Conduct Authority

2 Atodiad

 

Our Ref: FOI6787

 

 

Dear Mr Franks

 

Thank you for your request under the Freedom of Information Act 2000 (the
“Act”), dated 21 September 2019 in relation to the FCA’s General Insurance
& Protection (Retail Supervision) Department.  For full details of your
request please see Annex A (for ease of reference you will note your
request has been numbered).

 

Your request has now been considered and we can confirm that we hold
information that falls within the scope of your request.

 

With regard to point 1, the total number of staff who left the General
Insurance and Protection Department between 1 September 2015 and 31 March
2019 was 137 of which 34 left the FCA and 103 transferred internally.

 

The below table provides the breakdown of staff who have either left the
FCA or moved internally.  We are unable to provide some of these figures
to you. This is because where the number of leavers is fewer than ten,
there is a risk this may lead to the identification of the individuals
concerned and their personal data being disclosed. Therefore, the reason
for non-disclosure is outlined in Annex B below, as we consider that
section 40 (Personal information) of the Act applies.

 

+------------------------------------------------------------------------+
| Date Range | Left the FCA | Internal Transfer | Total |
|--------------------------+---------------+--------------------+--------|
|01/09/2015 – 31/12/2015 | [S40] | 10 | 13 |
|--------------------------+---------------+--------------------+--------|
|01/01/2016 – 31/12/2016 | 14 | 36 | 50 |
|--------------------------+---------------+--------------------+--------|
|01/01/2017 – 31/12/2017 | [S40] | 26 | 35 |
|--------------------------+---------------+--------------------+--------|
|01/01/2018 – 31/12/2019 | [S40] | 21 | 29 |
|--------------------------+---------------+--------------------+--------|
|01/01/2019 – 31/03/2019 | [S40] | 10 | 10 |
|--------------------------+---------------+--------------------+--------|
|Total | 34 | 103 | 137 |
+------------------------------------------------------------------------+

 

 

With regard to point 2, we have searched our records and identified 17
versions of the organisational charts all of which are at senior and
middle management role level (please see Annex C attached).  As you will
appreciate there will be differing versions as the charts are updated.   
You will also note that the names associated to the particular roles have
been redacted as we believe this also constitutes their personal data and
we consider that the exemption at section 40 (Personal information) of the
Act applies.

 

If you are unhappy with the decision made in relation to your request, you
have the right to request an internal review.  If you wish to exercise
this right you should contact the Information Disclosure Team within 40
working days of the date of this response.

 

If you are not content with the outcome of the internal review, you also
have a right of appeal to the Information Commissioner at Information
Commissioner's Office, Wycliffe House, Water Lane, Wilmslow, Cheshire SK9
5AF.  Telephone: 01625 545 700.  Website: [1]www.ico.org.uk.

 

Yours sincerely

 

 

Regards

 

Sue Dunlop

 

Susan Dunlop

Associate / Information Disclosure Team / Cyber & Information Resilience /
Operations / Ext: 60734 / Desk: West 14

 

This email is FCA Restricted unless marked otherwise

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Visit our pages on [3]Cyber & Information Resilience

 

Donate online to the FCA’s nominated charities [4]MIND & [5]Ambition,
Aspire, Achieve

 

Are you interested in fundraising for the FCA’s charity committee? If so,
please contact us via [6][email address]

 

 

 

 

Annex A

 

 1. Please provide a numeric breakdown of the numbers of staff that left
the General Insurance & Protection (Retail Supervision) teams between
1 September 2015 and 31 March 2019, to include those staff that left
the FCA and also transferred internally to other areas.  Please
provide a breakdown by year.

 

 2. Please provide an organisation chart showing the senior and middle
management roles and names that were attached to the Retail
Supervision area during the period above.”

 

 

 

Annex B

 

·             Section 40 (Personal data)

 

To the extent that the information we hold may contain personal data about
an individual, section 40(2)(b) of the Act provides that "[a]ny
information to which a request for information relates is also exempt
information if … either the first or second condition below (see sections
40(3) and 40(4) of the Act) is satisfied".

 

We have applied this exemption because the first condition (as stated in
section 40(3) of the Act) would be satisfied if the information requested
comprises the personal data of individuals other than yourself and which,
if disclosed, would breach the requirement of the General Data Protection
Regulations (“GDPR”) including the data protection principles of Article 5
and the Data Protection Act 2018 (“DPA”).

 

In particular, it would be a breach of the first data protection Principle
as set out in Article 5 of the GDPR, to disclose some information (as set
out above), as it would not be necessary or fair to the individuals
concerned, or lawful, where none of the conditions in Article 6(1) of the
GDPR have been met.  The individual(s) concerned have not given their
consent for their personal details to be made public and the release of
such information may be detrimental to the individuals themselves.

 

This is an “absolute” exemption, and so it is not necessary to balance the
public interest for and against disclosing the information.

 

 

This communication and any attachments may contain personal information.
For more information about how and why we use personal information and who
to contact with any queries about this, please see our privacy notices:
FCA Privacy Notice (https://www.fca.org.uk/data-protection) and PSR
Privacy Notice
(https://www.psr.org.uk/cookies-privacy-a...).

This communication and any attachments contain information which is
confidential and may be subject to legal privilege. It is for intended
recipients only. If you are not the intended recipient you must not copy,
distribute, publish, rely on or otherwise use it without our consent. Some
of our communications may contain confidential information which it could
be a criminal offence for you to disclose or use without authority. If you
have received this email in error please notify [email address]
immediately and delete the email from your computer. Further information
on the classification and handling of FCA information can be found on the
FCA website
(http://www.fca.org.uk/site-info/legal/fc...).

The FCA (or, if this email originates from the Payment Systems Regulator
Limited, the FCA on behalf of the Payment Systems Regulator Limited / the
Payment Systems Regulator Limited) reserves the right to monitor all email
communications for compliance with legal, regulatory and professional
standards.

This email is not intended to nor should it be taken to create any legal
relations or contractual relationships. This email has originated from the
Financial Conduct Authority (FCA), or the Payment Systems Regulator
Limited.

The Financial Conduct Authority (FCA) is registered as a limited company
in England and Wales No. 1920623. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company
in England and Wales No. 8970864. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment
Systems Regulator Limited)

References

Visible links
1. http://www.ico.org.uk/
2. https://thefca.sharepoint.com/sites/Intr...
3. https://thefca.sharepoint.com/sites/Intr...
4. https://uk.virginmoneygiving.com/fundrai...
5. https://uk.virginmoneygiving.com/fundrai...
6. mailto:[email address]

Dear Freedom of Information,
I have seen the response published which does NOT address the specific question asked. The response provided confirms the numbers for the entire Division and not just the retail supervision teams.

Please provide the information requested

Yours sincerely,

Steven Franks

The Financial Conduct Authority

Thank you for e-mailing the Financial Conduct Authority's Information Access Team. This is an automatic acknowledgement to tell you we have received your email safely. Please do not reply to this email. We will be in touch in due course.

This communication and any attachments may contain personal information. For more information about how and why we use personal information and who to contact with any queries about this, please see our privacy notices: FCA Privacy Notice (https://www.fca.org.uk/data-protection) and PSR Privacy Notice (https://www.psr.org.uk/cookies-privacy-a...).

This communication and any attachments contain information which is confidential and may be subject to legal privilege. It is for intended recipients only. If you are not the intended recipient you must not copy, distribute, publish, rely on or otherwise use it without our consent. Some of our communications may contain confidential information which it could be a criminal offence for you to disclose or use without authority. If you have received this email in error please notify [email address] immediately and delete the email from your computer. Further information on the classification and handling of FCA information can be found on the FCA website (http://www.fca.org.uk/site-info/legal/fc...).

The FCA (or, if this email originates from the Payment Systems Regulator Limited, the FCA on behalf of the Payment Systems Regulator Limited / the Payment Systems Regulator Limited) reserves the right to monitor all email communications for compliance with legal, regulatory and professional standards.

This email is not intended to nor should it be taken to create any legal relations or contractual relationships. This email has originated from the Financial Conduct Authority (FCA), or the Payment Systems Regulator Limited.

The Financial Conduct Authority (FCA) is registered as a limited company in England and Wales No. 1920623. Registered office: 25 The North Colonnade, Canary Wharf, London E14 5HS, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company in England and Wales No. 8970864. Registered office: 25 The North Colonnade, Canary Wharf, London E14 5HS, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment Systems Regulator Limited)

Freedom of Information Appeals, The Financial Conduct Authority

3 Atodiad

Our Ref: FOI6787

 

Dear Mr Franks

 

Freedom of Information: Right to know request

 

Thank you for your email dated 21 October 2019, regarding the information
you have requested under the Freedom of Information Act 2000 with the
above reference.  

 

We are considering the points you have raised and will contact you again
as soon as possible.  If it is likely to take more than 20 working days
from the date of receiving your email to respond in full, we will write to
you again.

 

Yours sincerely

 

 

Information Disclosure Team / Cyber and Information Resilience Department
/ Operations

[1]Description: cid:image001.png@01D2A7C9.64DDD390

12 Endeavour Square

London

E20 1JN

 

Tel:    +44 (0)20 7066 1000

[2]www.fca.org.uk

 

Follow us:

 

[3]Description: https://g.twimg.com/Twitter_logo_blue.pn...
image003

 

This communication and any attachments may contain personal information.
For more information about how and why we use personal information and who
to contact with any queries about this, please see our privacy notices:
FCA Privacy Notice (https://www.fca.org.uk/data-protection) and PSR
Privacy Notice
(https://www.psr.org.uk/cookies-privacy-a...).

This communication and any attachments contain information which is
confidential and may be subject to legal privilege. It is for intended
recipients only. If you are not the intended recipient you must not copy,
distribute, publish, rely on or otherwise use it without our consent. Some
of our communications may contain confidential information which it could
be a criminal offence for you to disclose or use without authority. If you
have received this email in error please notify [email address]
immediately and delete the email from your computer. Further information
on the classification and handling of FCA information can be found on the
FCA website
(http://www.fca.org.uk/site-info/legal/fc...).

The FCA (or, if this email originates from the Payment Systems Regulator
Limited, the FCA on behalf of the Payment Systems Regulator Limited / the
Payment Systems Regulator Limited) reserves the right to monitor all email
communications for compliance with legal, regulatory and professional
standards.

This email is not intended to nor should it be taken to create any legal
relations or contractual relationships. This email has originated from the
Financial Conduct Authority (FCA), or the Payment Systems Regulator
Limited.

The Financial Conduct Authority (FCA) is registered as a limited company
in England and Wales No. 1920623. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company
in England and Wales No. 8970864. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment
Systems Regulator Limited)

References

Visible links
2. http://www.fca.org.uk/
3. https://twitter.com/TheFCA
4. https://www.linkedin.com/company/financi...

Freedom of Information Appeals, The Financial Conduct Authority

3 Atodiad

Our Ref: FOI6787

 

Dear Mr Franks

 

Freedom of Information: Right to know request

 

We refer to our email dated 1 November 2019.  We are writing to inform you
that we have not yet reached a decision regarding your request for an
internal review of the FCA’s response to your information request with the
above reference, made under the Freedom of Information Act 2000.

 

We are still considering this matter and hope to be in a position to
respond to you by Monday 9 December 2019, although should we be able to
contact you sooner we will do so.

 

Thanking you for your patience.

 

Yours sincerely

 

 

Information Disclosure Team / Cyber and Information Resilience Department
/ Operations

[1]Description: cid:image001.png@01D2A7C9.64DDD390

12 Endeavour Square

London

E20 1JN

 

Tel:    +44 (0)20 7066 1000

[2]www.fca.org.uk

 

Follow us:

 

[3]Description: https://g.twimg.com/Twitter_logo_blue.pn...
image003

 

This communication and any attachments may contain personal information.
For more information about how and why we use personal information and who
to contact with any queries about this, please see our privacy notices:
FCA Privacy Notice (https://www.fca.org.uk/data-protection) and PSR
Privacy Notice
(https://www.psr.org.uk/cookies-privacy-a...).

This communication and any attachments contain information which is
confidential and may be subject to legal privilege. It is for intended
recipients only. If you are not the intended recipient you must not copy,
distribute, publish, rely on or otherwise use it without our consent. Some
of our communications may contain confidential information which it could
be a criminal offence for you to disclose or use without authority. If you
have received this email in error please notify [email address]
immediately and delete the email from your computer. Further information
on the classification and handling of FCA information can be found on the
FCA website
(http://www.fca.org.uk/site-info/legal/fc...).

The FCA (or, if this email originates from the Payment Systems Regulator
Limited, the FCA on behalf of the Payment Systems Regulator Limited / the
Payment Systems Regulator Limited) reserves the right to monitor all email
communications for compliance with legal, regulatory and professional
standards.

This email is not intended to nor should it be taken to create any legal
relations or contractual relationships. This email has originated from the
Financial Conduct Authority (FCA), or the Payment Systems Regulator
Limited.

The Financial Conduct Authority (FCA) is registered as a limited company
in England and Wales No. 1920623. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company
in England and Wales No. 8970864. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment
Systems Regulator Limited)

References

Visible links
2. http://www.fca.org.uk/
3. https://twitter.com/TheFCA
4. https://www.linkedin.com/company/financi...

Freedom of Information Appeals, The Financial Conduct Authority

3 Atodiad

Our Ref: FOI6787

 

Dear Mr Franks

 

Freedom of Information: Right to know request

 

We refer to our email dated 18 November 2019.  We are writing to inform
you that we have not yet reached a decision regarding your request for an
internal review of the FCA’s response to your information request with the
above reference, made under the Freedom of Information Act 2000.

 

We are still considering this matter and hope to be in a position to
respond to you by Friday 20 December 2019, although should we be able to
contact you sooner we will do so.

 

Thanking you for your patience.

 

Yours sincerely

 

 

Information Disclosure Team / Cyber and Information Resilience Department
/ Operations

[1]Description: cid:image001.png@01D2A7C9.64DDD390

12 Endeavour Square

London

E20 1JN

 

Tel:    +44 (0)20 7066 1000

[2]www.fca.org.uk

 

Follow us:

 

[3]Description: https://g.twimg.com/Twitter_logo_blue.pn...
image003

 

This communication and any attachments may contain personal information.
For more information about how and why we use personal information and who
to contact with any queries about this, please see our privacy notices:
FCA Privacy Notice (https://www.fca.org.uk/data-protection) and PSR
Privacy Notice
(https://www.psr.org.uk/cookies-privacy-a...).

This communication and any attachments contain information which is
confidential and may be subject to legal privilege. It is for intended
recipients only. If you are not the intended recipient you must not copy,
distribute, publish, rely on or otherwise use it without our consent. Some
of our communications may contain confidential information which it could
be a criminal offence for you to disclose or use without authority. If you
have received this email in error please notify [email address]
immediately and delete the email from your computer. Further information
on the classification and handling of FCA information can be found on the
FCA website
(http://www.fca.org.uk/site-info/legal/fc...).

The FCA (or, if this email originates from the Payment Systems Regulator
Limited, the FCA on behalf of the Payment Systems Regulator Limited / the
Payment Systems Regulator Limited) reserves the right to monitor all email
communications for compliance with legal, regulatory and professional
standards.

This email is not intended to nor should it be taken to create any legal
relations or contractual relationships. This email has originated from the
Financial Conduct Authority (FCA), or the Payment Systems Regulator
Limited.

The Financial Conduct Authority (FCA) is registered as a limited company
in England and Wales No. 1920623. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company
in England and Wales No. 8970864. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment
Systems Regulator Limited)

References

Visible links
2. http://www.fca.org.uk/
3. https://twitter.com/TheFCA
4. https://www.linkedin.com/company/financi...

Freedom of Information Appeals, The Financial Conduct Authority

4 Atodiad

Our Ref: FOI6787

 

Dear Mr Franks

 

Freedom of Information: Right to know request

 

I refer to your email received on 21 October 2019 asking the Financial
Conduct Authority (“FCA”) to review its decision of the same date provided
in response to the information you requested under the Freedom of
Information Act 2000, with the above reference.  Please find attached the
outcome of the FCA's review.

 

Please accept our apologies for the time it has taken to complete this
review.   

 

For ease of reference, I also include below the hyperlinks provided in our
reply:

 

[1]http://www.bailii.org/ew/cases/EWCA/Civ/...

 

[2]https://www.fca.org.uk/publication/foi/m...

 

 

Thanking you.

 

Yours sincerely

 

Information Disclosure Team / Cyber and Information Resilience Department
/ Operations

[3]Description: cid:image001.png@01D2A7C9.64DDD390

12 Endeavour Square

London

E20 1JN

 

Tel:    +44 (0)20 7066 1000

[4]www.fca.org.uk

 

Follow us:

 

[5]Description: https://g.twimg.com/Twitter_logo_blue.pn...
image003

 

This communication and any attachments may contain personal information.
For more information about how and why we use personal information and who
to contact with any queries about this, please see our privacy notices:
FCA Privacy Notice (https://www.fca.org.uk/data-protection) and PSR
Privacy Notice
(https://www.psr.org.uk/cookies-privacy-a...).

This communication and any attachments contain information which is
confidential and may be subject to legal privilege. It is for intended
recipients only. If you are not the intended recipient you must not copy,
distribute, publish, rely on or otherwise use it without our consent. Some
of our communications may contain confidential information which it could
be a criminal offence for you to disclose or use without authority. If you
have received this email in error please notify [email address]
immediately and delete the email from your computer. Further information
on the classification and handling of FCA information can be found on the
FCA website
(http://www.fca.org.uk/site-info/legal/fc...).

The FCA (or, if this email originates from the Payment Systems Regulator
Limited, the FCA on behalf of the Payment Systems Regulator Limited / the
Payment Systems Regulator Limited) reserves the right to monitor all email
communications for compliance with legal, regulatory and professional
standards.

This email is not intended to nor should it be taken to create any legal
relations or contractual relationships. This email has originated from the
Financial Conduct Authority (FCA), or the Payment Systems Regulator
Limited.

The Financial Conduct Authority (FCA) is registered as a limited company
in England and Wales No. 1920623. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company
in England and Wales No. 8970864. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment
Systems Regulator Limited)

References

Visible links
1. http://www.bailii.org/ew/cases/EWCA/Civ/...
2. https://www.fca.org.uk/publication/foi/m...
4. http://www.fca.org.uk/
5. https://twitter.com/TheFCA
6. https://www.linkedin.com/company/financi...

Nid ydym yn gwybod a yw'r ymateb mwyaf diweddar i'r cais hwn yn cynnwys gwybodaeth neuai peidio - os chi ywSteven Franks mewngofnodwch a gadael i bawb wybod.