Who can request a Letter of Goodstanding
Letters of Goodstanding can be requested by overseas regulators and regulatory bodies. If you are a Firm or an Individual, you must make a request via your regulatory body.
A Goodstanding Letter for overseas regulators may contain the following information:
For Individuals
- Whether an Individual was or is approved by us
- Whether we have ever disciplined the Individual
- Whether we have adverse information on the Individual
For Firms
- Whether the Firm was or is authorised and regulated by us
- The permissions held by the Firm
- Whether we hold any relevant adverse information
- Whether we are aware of any complaints against the Firm
- Whether the Firm has been subject to censure, criticism or disciplinary proceedings by us
Goodstanding letters for overseas regulators do not include:
- an overview of compliance records
- details of shareholders or changes to qualifying shareholders
- any identified risks a firm is facing or may potentially face
- whether a firm has sufficient financial resources
- whether the FCA has no objection to the establishment of a representative office or the transfer of a subsidiary
- information on the supervisory regime, including specific reference to appointed representatives
- whether a firm is allowed to carry out the services of a liquidity provider under its current registration
If you require any of the information listed above, or similar information that falls outside the scope of a Goodstanding Request, please submit an attached letter, as these are considered supervisory requests rather than Goodstanding requests, to [email protected].
Important Information
Any disclosure letter will be based only on the records available to us at the time of issue, matching the information (name and/or reference number of the firm or individual) which you are providing to us through this form.
We note that this response may contain confidential information subject to professional secrecy or confidentiality. For this reason, we would expect you to keep its contents confidential and not disclose information contained within it to any third parties without obtaining our prior written consent.
Please do not include sensitive information in this request, if you must provide sensitive information, please email the FCA at [email protected]
Before making your request
Check if the Firm or Individual is Authorised, Registered or Approved by the FCA.
We provide Goodstanding responses for Firms or Individuals who are Authorised, Registered or Approved by the FCA, as of the date the request is submitted.
If a Firm or Individual is no longer, or has never been, Authorised, Registered or Approved by us, we are only able to respond based on the dates for which they were Authorised/Registered/Approved.
Please review the Financial Services Register to confirm their authorisation before submitting your request.
Find out more about how to use the Financial Services Register.
Please note that some Firms/Individuals, such as controllers or persons responsible for payment services/e-money, are not on the Financial Services Register. See section 422 of FSMA for the full definition of 'Controller'.
Check if we have published a notice
Register Notices may be published where we have taken formal action against a Firm or Individual (for example, to prohibit them from being Authorised or cancelling permissions).
Please note that we do not publish all Notices in all instances and information may be provided where possible as part of the Goodstanding Letter.
Search the notices we have published on our website.
