Complaints Received Complaints Resolved.

The Financial Conduct Authority did not have the information requested.

Keith Alexander Mallen

Dear Financial Conduct Authority,

Please provide the number of complaints received in respect of companies listed in the markets over which you have authority and the number which have been, according to the complainant, satisfactorily resolved both in your present incarnation and for those who fulfilled your purpose before.

Yours faithfully,

Keith Alexander Mallen

Keith Alexander Mallen

Dear Financial Conduct Authority,

Toot Toot.

It is not uncommon to get an acknowledgement in respect of an FOI request.

Perhaps you are busy doing nothing elsewhere.

Yours faithfully,

Keith Alexander Mallen

Freedom of Information, The Financial Conduct Authority

 

Our ref:  FOI3098

 

 

Dear Mr Mallen

 

We refer to your request under the Freedom of Information Act 2000 (the
Act), for the following information.

 

“Please provide the number of complaints received in respect of companies
listed in the markets over which you have authority and the number which
have been, according to the complainant, satisfactorily resolved both in
your present incarnation and for those who fulfilled your purpose before.”

 

Your request has now been considered.

 

Whilst it is possible that we may hold information relevant to your
request, we estimate that, in order to comply with your request would
exceed the 18 hour time limit.  This is because there is a large volume of
information held by the FCA’s Consumer Contact Centre (CCC), the
designated area for receiving enquiries from consumers.  This data is not
held in a readily extractable format and we are unable to confirm how many
of these enquiries were actual complaints relating to ‘companies listed in
the markets’.  We therefore consider that the following exemption applies.

 

·              Section 12 (Costs of compliance exceeds appropriate limit)

 

The Act requires us to comply with a request, unless it would be too
expensive to do so, as estimated in accordance with the Freedom of
Information and Data Protection (Appropriate Limit and Fees) Regulations
2004 made by the Ministry of Justice.  The regulations provide that, for
the FCA, the cost limit is £450 i.e. 18 hours at the rate of £25 per
person hour.  The regulations allow us to take into account, when
estimating the cost of complying with a request, the time spent
determining whether we hold the information requested; locating and
retrieving it and extracting the information from the relevant
document(s).

 

The full list of companies admitted to the ‘Official List’ is available at
the following link:

 

[1]http://www.fsa.gov.uk/ukla/officialList.do

 

There are more than 2,000 different companies on this list and, in order
to extract the information you have requested would require each enquiry
held by the CCC to be checked manually against this list to determine
whether or not it refers to a complaint about one of the companies. 

 

On that basis, therefore, we estimate that to comply with your request
would substantially exceed our 18 hour cost limit.  As our policy is not
to divert our resources from our regulatory functions, in order to meet
requests under the Act in excess of the cost limit, we will not be able to
carry out an exercise to identify the information you have requested.

 

For your information, the FCA as an organisation does not deal with
general complaints unless they are complaints directly against the FCA and
meet the requirements of the FCA’s complaints scheme.  Therefore, any
complainant or enquiry that expresses general dissatisfaction about a firm
or individual is referred to the Financial Ombudsman Service (FOS).  You
may find it helpful to visit their website at
[2]http://www.financial-ombudsman.org.uk for more information in this
regard.

 

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 us within three months of the date of this
email.

 

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:       [3]www.ico.gov.uk

 

Yours sincerely

 

 

Information Access Team

Financial Conduct Authority

 

 

This communication and any attachments contains 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.

 

The FCA 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)

25 The North Colonnade,

Canary Wharf,

London

E14 5HS

United Kingdom

 

Registered as a Limited Company in England and Wales No.1920623.

Registered Office as above

 

Switchboard: 020 7066 1000

Web Site: http://www.fca.org.uk

*****************************************************************

References

Visible links
1. http://www.fsa.gov.uk/ukla/officialList.do
2. http://www.financial-ombudsman.org.uk/
3. http://www.informationcommissioner.gov.uk/

Keith Alexander Mallen

Dear Freedom of Information,

Thanks.

Perhaps you might consider implementing systems that would allow you to cover such 'metrics'.

Oh dear.

As far as I and others need to be concerned this would not fit in with your perspective of your remit.

Sucks to be us.

Handy Hint..

Perhaps you might consider doing a warm mint tea assisted colonoscopy in order to discover how you might improve your performance in terms of knowing, although you do not wish to do so, what you are doing.

Put it another way. You and the 'industry' you represent are corrupt.

HTH

Yours sincerely,

Keith Alexander Mallen

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 wil be in touch in due course.

This communication and any attachments contains 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.

The FCA 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)
25 The North Colonnade,
Canary Wharf,
London
E14 5HS
United Kingdom
Registered as a Limited Company in England and Wales No.1920623.
Registered Office as above
Switchboard: 020 7066 1000
Web Site: http://www.fca.org.uk
*****************************************************************

Keith Alexander Mallen

Dear Financial Conduct Authority,

Please pass this on to the person who conducts Freedom of Information reviews.

I am writing to request an internal review of Financial Conduct Authority's handling of my FOI request 'Complaints Received Complaints Resolved.'.

Please review yourselves internally.

Do Not Pass Go. Do Not refer me to 24 Pator Noster Square.

<sarcasm> Colour me surprised if you fail to give a 'satisfactory' response. </sarcasm>

In as much as my complaint will be rendered pointless by your reply...

EOM

A full history of my FOI request and all correspondence is available on the Internet at this address: https://www.whatdotheyknow.com/request/c...

Yours faithfully,

Keith Alexander Mallen

Freedom of Information, The Financial Conduct Authority

1 Attachment

To:               Mr Keith Alexander Mallen

 

Our Ref:        FOI3098

 

Dear Mr Mallen

 

Freedom of Information: Right to know request

 

Further to your email dated 22 October, we will review our decision dated
13 September 2013 that was provided in response to the information request
you made under the Freedom of Information Act 2000, which we have
allocated the above FCA reference. 

 

We 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 request to reach
a view, we will write to you again.

 

Yours sincerely

 

 

Information Access Team

[1]FCA_

Financial Conduct Authority

25 The North Colonnade

Canary Wharf

London

E14 5HS

 

Tel (FOI Helpline):    +44 (0)20 7066 8080

[2]www.fca.org.uk

 

 

This communication and any attachments contains 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.

 

The FCA 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)

25 The North Colonnade,

Canary Wharf,

London

E14 5HS

United Kingdom

 

Registered as a Limited Company in England and Wales No.1920623.

Registered Office as above

 

Switchboard: 020 7066 1000

Web Site: http://www.fca.org.uk

*****************************************************************

References

Visible links
2. http://www.fca.org.uk/

Freedom of Information, The Financial Conduct Authority

1 Attachment

To:               Mr Keith Alexander Mallen

 

Our Ref:        FOI3098

 

Dear Mr Mallen

 

Freedom of Information: Right to know request

 

I refer to our e-mail dated 28 October 2013.  I am writing to inform you
that we have not yet reached a decision regarding your request for an
internal review of the FCA’s responses to your information requests with
the above references, made under the Freedom of Information Act 2000.

 

We are still considering the points that you raised in your e-mail of 22
October.  We hope to be in a position to respond to you by Tuesday 26
November 2013, although should we be in a position to contact you sooner
we will do so.

 

Thanking you.

 

Yours sincerely

 

 

 

Information Access Team

[1]FCA_

Financial Conduct Authority

25 The North Colonnade

Canary Wharf

London

E14 5HS

 

Tel (FOI Helpline):    +44 (0)20 7066 8080

[2]www.fca.org.uk

 

 

This communication and any attachments contains 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.

 

The FCA 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)

25 The North Colonnade,

Canary Wharf,

London

E14 5HS

United Kingdom

 

Registered as a Limited Company in England and Wales No.1920623.

Registered Office as above

 

Switchboard: 020 7066 1000

Web Site: http://www.fca.org.uk

*****************************************************************

References

Visible links
2. http://www.fca.org.uk/

Freedom of Information, The Financial Conduct Authority

2 Attachments

To:               Mr Keith Alexander Mallen

 

Our Ref:        FOI3098

 

Dear Mr Mallen

 

Freedom of Information: Right to know request

 

Please find attached the FCA’s internal review response to your
information request with the above reference, made under the Freedom of
Information Act 2000.

 

Thanking you.

 

Yours sincerely

 

 

 

Information Access Team

[1]FCA_

Financial Conduct Authority

25 The North Colonnade

Canary Wharf

London

E14 5HS

 

Tel (FOI Helpline):    +44 (0)20 7066 8080

[2]www.fca.org.uk

 

 

 

 

 

 

This communication and any attachments contains 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.

 

The FCA 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)

25 The North Colonnade,

Canary Wharf,

London

E14 5HS

United Kingdom

 

Registered as a Limited Company in England and Wales No.1920623.

Registered Office as above

 

Switchboard: 020 7066 1000

Web Site: http://www.fca.org.uk

*****************************************************************

References

Visible links
2. http://www.fca.org.uk/