Person with Responsibility for the FCA and FOS within HM Treasury

Waiting for an internal review by Her Majesty’s Treasury of their handling of this request.

Dear Her Majesty’s Treasury,

I have been informed by staff within the FCA that both the FCA and the FOS are instructed by and or governed by HM Treasury however neither organisation appears able to provide the details of which person or department within the treasury has responsibility for or over-site of these organisations.

1. Please provide any information which identifies the relationship between HM Treasury and the FOS and FCA and also the identity and contact details of the person within HM treasury with overall responsibility for both organisations.

I am requesting this information because of this situation https://www.whatdotheyknow.com/request/f...

At this point in time, the two organisations responsible for regulating financial issues within the UK are working from a single document called the Financial Authority Handbook, which sets out the relevant rules and guidance for all financial institutions .

The FCA who published this handbook apparently instruct all regulated organisations / firms in relation to it's interpretation and content.

Unfortunately, the Financial Ombudsman Service, who also use the same book are apparently allowed to make up their own interpretations of the content and the FCA claim that they have no remit or authority to correct any interpretations made by the FOS of their handbook.

In my case the FOS has made a decision in direct opposition to a rule within the FCA Handbook under DISP 2.7.2. and the FCA state that they can take no action as the FOS are not required to comply with their interpretation even if they were prepared to issue one.

The FCA have also stated that despite the name of the document being "The Financial Conduct Authority Handbook" they have no staff responsible for defining the meaning of any content within it, and if a conflict arises, despite the majority of their staff issuing guidance to the firms in everyday use there is no individual or department with the authority to issue a definitive ruling regards interpretation.

This has resulted in two diametrically opposed interpretations of the same rule which neither organisation will address.

2. Please provide any information which applies to any authority held by HM Treasury which gives authority to interpret or define the content of the FCA handbook and or direct the interpretation of provisions within the documentation used by the FOS and FCA and who controls any such authority.

3. Please also provide any information regarding any procedure or process which would allow a person to raise to the relevant person / department of the treasury, the issue that an ombudsman within the FOS has made a deliberately perverse decision in breach of the rules specified within the FCA Handbook and the accepted use of the English language, and also the fact that the Chief Ombudsman, Ms Wayman, has refused to address this fact or even respond regarding it.

Yours faithfully,

W Hunter

FOI Requests, Her Majesty’s Treasury

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FOI Requests, Her Majesty’s Treasury

Dear Sir/Madam,

Thank you for your Freedom of Information request. I write to confirm receipt of your request and to let you know that it is receiving attention. If you have any enquiries regarding your request do not hesitate to contact us.

Regards,

Information Rights Team

FOI Requests, Her Majesty’s Treasury

1 Attachment

Dear W Hunter

 

Please find attached HM Treasury’s response to your information request.

 

To be helpful, I have copied below the links to published information
cited in the response.

 

[1]http://www.financial-ombudsman.org/about...

[2]http://www.financial-ombudsman.org/about...

 

[3]http://www.legislation.gov.uk/ukpga/2000...

[4]http://www.legislation.gov.uk/ukpga/2012...

[5]https://www.fca.org.uk/about/reporting-t...

 

 

Yours sincerely

 

 

Information Rights Unit

 

Correspondence and Information Rights Team | Corporate Centre Group |
Floor 3 Red / Yellow | HM Treasury, 1 Horse Guards Road, London, SW1A 2HQ 
 www.gov.uk/hm-treasury 

 

 

 

Dear FOI Requests,

I have read your response and note that you have misconstrued a portion of my request within section 1 of your response.

You have interpreted my request for the name and contact details for the person with overall responsibility for both organisations to be a request for information regarding a junior official with no public facing responsibility.

I find it hard to believe that any "Junior official" would have "Overall Responsibility" for these two organisations and whilst I may or may not disagree with your section 40 exemption regarding this junior officials name, their job title and the contact details for that position without a name attached do not fall under section 40 exemption.

I would therefore appreciate it if you would identify the position held by that junior official and the contact details for that position.

I would also request, based on the assumption that the junior official in question reports to more senior staff and so cannot have overall responsibility for both the FCA and FOS as that must lie with someone more senior to them, that you identify the first Senior Civil Service member of staff within that persons managerial chain who's name and contact details are not excluded under section 40 exemption and disclose them to me.

Regards

W Hunter

Yours sincerely,

W Hunter

FOI Requests, Her Majesty’s Treasury

Thank you for your email.  This is an automatic acknowledgement to confirm
that we have received your communication safely.  Please do not reply to
this email. 

 

Please note that this mailbox is only for requests made under the Freedom
of Information Act (FOI).

 

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[1][email address]

 

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email communications may be monitored to ensure the secure and effective
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Dear Her Majesty’s Treasury,

I have had no response to my additional submission to you on the 11 September clarifying the original request.

Please provide an update on when a further response will be forthcoming.

Yours faithfully,

W Hunter

FOI Requests, Her Majesty’s Treasury

Thank you for your email.  This is an automatic acknowledgement to confirm
that we have received your communication safely.  Please do not reply to
this email. 

 

Please note that this mailbox is only for requests made under the Freedom
of Information Act (FOI).

 

Other enquiries should be sent to the following email address

[1][email address]

 

This email and any files transmitted with it are intended solely for the
use of the individual(s) to whom they are addressed. If you are not the
intended recipient and have received this email in error, please notify
the sender and delete the email. This footnote also confirms that our
email communications may be monitored to ensure the secure and effective
operation of our systems and for other lawful purposes, and that this
email has been swept for malware and viruses.

References

Visible links
1. mailto:[email address]

FOI Requests, Her Majesty’s Treasury

1 Attachment

Dear W Hunter

Please find attached HM Treasury’s response to your further information request.

Yours sincerely


Information Rights Unit

Correspondence and Information Rights Team | Corporate Centre Group | Floor 3 Red / Yellow | HM Treasury, 1 Horse Guards Road, London, SW1A 2HQ
www.gov.uk/hm-treasury

Dear Her Majesty’s Treasury,

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

I am writing to request an internal review of Her Majesty’s Treasury's handling of my FOI request 'Person with Responsibility for the FCA and FOS within HM Treasury'.

The FOI Requests response has left me even more confused regarding your interpretation of the act.

In respect to the Junior Official, you have withheld their name whilst disclosing their position, on the grounds that the position is not personal information, but then claim that the contact details for that position are exempt as personal information.

A position of employment and the details for how to contact that position within an organisation are not personal as they do not identify any single living individual, they identify A position.

In respect to the senior member of staff, your organisation has seen fit to identify a number of employees who are by the nature of their position required to be identified in the public domain, hence the reason that their "Personal Information from which a living individual can be identified" otherwise referred to as their Name, Gwyneth Nurse, and job title, Director Financial Services Group, have been included in your response.

For you to then claim that their contact details, i.e. telephone number, email address etc are being withheld under section 40 of the DPA is fundamentally flawed in that you have already issued their name which is significantly more personal than the information you are trying to withhold.

In addition I do not think that section 40 of the FOIA means what you appear to think it means in that section 40 only applies to :-

40(1) (1)Any information to which a request for information relates is exempt information if it constitutes personal data of which the applicant is the data subject.

If you believe that it is not section 40 itself but rather one of the data protection principles of the DPA which cover your exemption I would be grateful if you would kindly itemise your individual issues from the principles and clearly state which ones apply to each exemption.

Again, my understanding is that section 40 only applies to my information and where the DPA principles are concerned there is reference to not including 3rd party information however there is also an option to ask that third party to allow their information to be included.

In either case I do not believe that section 40 of the FOIA applies to this matter at all.

Yours sincerely,

W Hunter

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

Yours faithfully,

W Hunter

FOI Requests, Her Majesty’s Treasury

Dear Sir/Madam

Thank you for your Freedom of Information internal review request. I write to confirm receipt of your request and to let you know that it is receiving attention. If you have any enquiries regarding your request do not hesitate to contact us.

Yours sincerely

Information Rights Unit | Correspondence and Information Rights | HM Treasury, 1 Horse Guards Road, London, SW1A 2HQ   www.gov.uk/hm-treasury

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