Meetings of CMC Team

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Dear The Financial Conduct Authority,

Could you please list in chronological order all external individuals and organisations (and the representatives thereof) that Rob Gruppetta met with, either in person or virtually in his role as the Head of CMC Department between January - June 2020 (inclusive).

Yours faithfully,

Simon Evans

Freedom of Information, The Financial Conduct Authority

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Freedom of Information, The Financial Conduct Authority

3 Attachments

Our ref:        FOI8291

 

Dear Mr Evans

 

Freedom of Information: Right to know request

 

Thank you for your emails of 27 April 2021, in which you asked:

 

Could you please list in chronological order all external individuals and
organisations (and the representatives thereof) that Rob Gruppetta met
with, either in person or virtually in his role as the Head of CMC
Department between:

 

1 January 2020– 30 June 2020 (inclusive)

1 July 2020 – 31 December 2020 (inclusive)

1 January 2021 - 21 April 2021 (inclusive)

 

You submitted three separate emails which have been aggregated and
processed in accordance with the Act as one request under the reference
shown above. Under guidance issued by the Ministry of Justice, a public
authority may aggregate requests in the following circumstances (amongst
others):

 

•      Two or more requests for information have been made to the same
public authority;

•      The requests are from the same person; and

•      The requests relate to the same or similar information.

 

The Guidance can be found [1]here (see page 12).

 

We have processed your emails in line with the provisions of the Freedom
of Information Act 2000 (FOIA) and our response is below.

 

Our decision on your request

 

We hold the information you requested.  Please see Annex A for the
information we can disclose to you. We are exempted from disclosing the
names of the external individuals who attended these meetings under
section 40 (personal data) of FOIA.

 

This is because the information constitutes the personal data of the
applicant and is exempt under the Act.  If the requested information is
the requester’s personal data, it is exempt under section 40(1) of the
Act. For more information on why we are applying this exemption please see
Annex B.

 

 

Your right to complain under FOIA

 

If you are unhappy with the decision we have made about your request, you
have the right to request an internal review. To do so, please contact us
within three months 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 by phone or on
their website at:

 

Telephone: 0303 123 1113

Website: [2]www.ico.org.uk

Yours sincerely

 

Information Disclosure Team / Cyber and Information Resilience Department
/ Operations

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

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[4]www.fca.org.uk

 

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Annex A

 

Chronological list of external organisations that Rob Gruppetta, as the
Head of the CMC Department:

 

+------------------------------------------------------------------------+
|DATE |TIME |External |COMPANY |LOCATION |
| | |attendees | | |
|----------+-----------+----------------+-------------------+------------|
|07/01/2020|12:00-13:00|[s40], [s40], |Financial Services |FSCS, 10th |
| | |[s40], [s40], |Compensation Scheme|Floor, |
| | |s40] |(FSCS) |Beaufort |
| | | | |House, 15 St|
| | | | |Botolph |
| | | | |Street, EC3A|
| | | | |7QU |
|----------+-----------+----------------+-------------------+------------|
|16/01/2020|16:00 |[s40], [s40], |Financial Ombudsman|FCA |
| |-17:00 |[s40], [s40] |Service (FOS) | |
|----------+-----------+----------------+-------------------+------------|
|27/01/2020|15:30-16:30|[s40], [s40] |FSCS |FCA |
|----------+-----------+----------------+-------------------+------------|
|03/02/2020|13:00-14:00|[s40], [s40], |FSCS |FCA |
| | |[s40] | | |
|----------+-----------+----------------+-------------------+------------|
|04/02/2020|10:00-12:30|[not held] |Information |FCA |
| | | |Commissioner’s | |
| | | |Office (ICO ) | |
|----------+-----------+----------------+-------------------+------------|
|26/02/2020|12:30-13:30|[s40] |Govan Law |FCA |
|----------+-----------+----------------+-------------------+------------|
|05/03/2020|15:30-16:30|[s40], [s40], |FOS |FOS, |
| | |[s40], [s40] | |Exchange |
| | | | |Tower, |
| | | | |London, E14 |
| | | | |9SR |
|----------+-----------+----------------+-------------------+------------|
|20/04/2020|16:00-17:00|[s40], [s40], |FSCS |Skype |
| | |[s40], [s40], | |Meeting |
| | |[s40], [s40] | | |
|----------+-----------+----------------+-------------------+------------|
|07/05/2020|15:00-16:00|[s40], |FOS |Skype |
| | |[s40],[s40] | |Meeting |
|----------+-----------+----------------+-------------------+------------|
|02/06/2020|13:30-15:00|[s40], [s40], |Regulatory |Skype |
| | |[s40], [s40], |Consultative Group |Meeting |
| | |[s40], [s40], |(RCG) | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], | | |
|----------+-----------+----------------+-------------------+------------|
|15/07/2020|10:00-11:00|[s40], [s40], |FSCS |Skype |
| | |[s40], [s40] | |Meeting |
|----------+-----------+----------------+-------------------+------------|
|27/07/2020|15:00-16:00|[s40], s40, |FSCS |Skype |
| | |[s40], [s40], | |Meeting |
| | |[s40] | | |
|----------+-----------+----------------+-------------------+------------|
|25/08/2020|16:00-17:00|[s40], [s40], |FOS |MS Teams |
| | |[s40], [s40] | |Meeting |
|----------+-----------+----------------+-------------------+------------|
|05/10/2020|16:00-17:00|[s40], [s40] |ICO/ SRA and UKF/ |MS Teams |
| | | |BSA/ FLA |Meeting |
|----------+-----------+----------------+-------------------+------------|
|06/10/2020|14:00-15:00|[s40], [s40], |FSCS |MS Teams |
| | |[s40], [s40], | |Meeting |
| | |[s40], [s40] | | |
|----------+-----------+----------------+-------------------+------------|
|21/10/2020|14:00-15:00|[s40], [s40], |FOS |MS Teams |
| | |[s40], [s40] | |Meeting |
|----------+-----------+----------------+-------------------+------------|
|25/11/2020|14:00– |[s40], [s40], |RCG |MS Teams |
| |15:30 |[s40], [s40], | |Meeting |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], | | |
|----------+-----------+----------------+-------------------+------------|
|14/12/2020|16:00-17:00|[s40], [s40], |FOS |MS Teams |
| | |[s40], [s40] | |Meeting |
|----------+-----------+----------------+-------------------+------------|
|06/04/2021|15:00-16:00|[s40], [s40], |FSCS |MS Teams |
| | |[s40], [s40], | |Meeting |
| | |[s40], | | |
|----------+-----------+----------------+-------------------+------------|
|23/04/2021|09:00-10:30|[s40], [s40], |RCG |MS Team |
| | |[s40], [s40], | |Meetings |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], [s40], | | |
| | |[s40], | | |
+------------------------------------------------------------------------+

 

Annex B

 

·                Section 40 (Personal Information)

 

To the extent that the information that we hold contains personal data
about individuals, section 40(2)(b) of the Act provides that "[a]ny
information to which a request for information relates is also exempt
information if the first, second or third condition listed below is
satisfied."

 

We have applied this exemption because the first condition (as stated in
section 40(3A) of FOIA) is satisfied.  Some of the information you have
requested comprises the personal data of individuals other than yourself
which, if disclosed, would breach the requirement of Regulation (EU)
2016/679 of the European Parliament and of the Council of 27 April 2016 on
the protection of natural persons with regard to the processing of
personal data and on the free movement of such data, and repealing
Directive 95/46/EC (General Data Protection Regulation) (“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 such information, 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)

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