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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 (PSR).

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 (PSR) 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 (PSR)

Our reference: FOI4494

 

Dear Alun Winter

 

 

Thank you for your request under the Freedom of Information Act 2000 (the
Act) for the following information:

 

“Please could you provide the following information for directly
authorised firms / individuals located in Wales

 

1) Trading Name

2) Full name of the Director / main contact

2) Contact email address & telephone number

4) Address and postcode

5) Main areas of business.”

 

Your request has now been considered. To process your request
geographically for Wales would exceed the FCA’s statutory cost limit for
complying with freedom of information requests, as contained within the
Freedom of Information and Data Protection (Appropriate Limit and Fees)
Regulations 2004, and so the exemption to disclosure in section 12 of the
Act applies. For a more detailed explanation as to why this exemption
applies, please refer to Annex A.

 

When we refuse a request because the appropriate limit has been exceeded,
it is our general policy to provide advice and assistance to the applicant
to indicate how the request could be refined or limited to stand a greater
chance of falling within the cost limit. Therefore, you may be interested
to know that some of the information you have requested can be provided to
you from our Register Extract Service for a fee.

 

The information that can be provided to you for a fee from the Register
Extract Service is:

 

·         Trading Name

·         Full name of the Director / main contact

·         Address and Postcode

·         Firm phone or fax number

 

If you wish to obtain information through our Register Extract Service,
please use the following link:
[1]http://www.fca.org.uk/firms/systems-repo....

 

Please note, the register extract contains a list of all authorised Firms
and Individuals. You would have to filter the postcode field as well as
the address for the Principal Place of Business, to filter out Firms in
Wales.

 

Also, a firms ‘Main’ area of business’ is not recorded by the FCA. We
record what permissions we have granted a firm, but as a firm can have
permissions that would allow them to undertake multiple areas of business
(e.g. Banking and Insurance) we do not hold any data that would indicate
which of those areas would be their ‘Main’ business.

 

Further, the Register Extract Service does not contain email addresses and
we do not provide phone numbers for Individuals.

 

A breakdown of the Data Extract Services fees, can be found in Annex B.

 

 

Yours sincerely

Information Access Team / Finance and Business Services

[2]FCA_

Financial Conduct Authority

25 The North Colonnade

Canary Wharf

London

E14 5HS

 

Tel: +44 (0)20 7066 8080

 

www.fca.org.uk

 

The contents of this email and any attachment are classified as FCA
RESTRICTED unless stated otherwise.

 

 

 

Your right to complain under the Act

 

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
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: [3]www.ico.org.uk

 

 

Annex A

 

General right of access to information held by public authorities

 

Under section 1(1)(a) of the Act, any person making a request for
information to a public authority is entitled to be informed in writing by
the public authority whether it holds information of the description
specified in the request.  If the public authority holds information of
the type specified in the request, the person requesting the information
is entitled under section 1(1)(b) to have the information communicated to
them.  The rights in section 1(1)(a) and (b) are subject to a number of
exclusions and exemptions.

 

 

Section 12 (Cost 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.  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).

 

As mentioned above, to provide the information you have requested will
take us over the cost limit. This is because the information you have
requested is not held in a readily extractable format. We would have to
manually assess all addresses that do not state ‘Wales’ in their address
for ‘Principal Place of business’ as some of the ‘Principal Places of
business’ may be based in ‘Wales’ e.g. Cardiff, but do not have ‘Wales’ in
their address. Therefore, to complete this exercise will take well in
excess of 18hrs. On that basis, we estimate that the cost of retrieving
the information you have requested would far exceed the £450 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 carry out an exercise to identify the information you have
requested. 

 

Annex B

 

 

 

Register Extract Service

 

The only Individuals that this service provides information about are
Approved Persons, and no email addresses or direct phone numbers are
available, although the Firm's phone number may be included in the file. 

 

Note that this extract contains ALL types of Firms regulated by the FCA,
we do not offer an extract tailored to the specific requirements of a
subscriber.

 

The cost of this service depends on a number of factors:

 

·         Desired frequency of receiving the files (one off, weekly,
monthly)

·         Whether only Firm data or both Firm and Individual data is
required

·         The purpose for which the data will be used (own compliance,
commercial re-use, other use (e.g. marketing))

·         How the subscriber wishes to receive the data (on CD or via
download)

 

To give you an example, a one-off subscription to the Firms & Individuals
extract for "other use" purposes delivered on CD would cost £11,498 (excl
VAT). 

 

 

 

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 PSR, the FCA on behalf of
the PSR/the PSR) 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 (PSR).

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 (PSR) 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 (PSR)

 

References

Visible links
1. http://www.fca.org.uk/firms/systems-repo...
3. http://www.ico.org.uk/