Financial Conduct Authority (Other) [2020] UKICO fs50806987 (31 January 2020)
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Financial Conduct Authority
The complainant has requested information relating to how the Financial Conduct Authority (FCA) and the Financial Ombudsman Service (FOS) have interpreted and implemented the Alternative Dispute Resolution (ADR) regulations. The FCA provided some information captured by the request but withheld other information. The majority of the withheld information was withheld under section 44 – statutory prohibition on disclosure, but some information was also withheld under section 40(2) – personal information and section 31 – law enforcement. During the course of the Commissioner’s investigation the FCA also applied section 42 – legal professional privilege to a small amount of the information that it had originally withheld under section 31. It also withdrew its application of exemptions from a very limited amount of information. The Commissioner also came to the conclusion that the FCA had interpreted one part of the request, part 8, too narrowly. The FCA therefore provided the Commissioner with further information in line with her, broader, interpretation. Although the FCA indicated that the majority of this information could be released, it also cited sections 44, 40 and 31 as a basis for withholding some of that information. The Commissioner’s decision is that the FCA is entitled to rely on the exemptions provided by section 44, 40(2) and 42. It is also entitled to rely on section 31 to withhold the majority of the information to which it has been applied. However section 31 does not apply to all the information. The Commissioner requires the public authority to disclose the information which does not engage section 31. The FCA is also required to disclose the information from which it has withdrawn the application of any exemption and the additional information that falls within the scope of part 8 of the request, apart from that which the Commissioner finds is exempt.
FOI 42:
Complaint not upheld
FOI 31:
Complaint partly upheld
FOI 40(2):
Complaint not upheld
FOI 1:
Complaint not upheld
FOI 44:
Complaint not upheld
Decision notice: fs50806987
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URL: http://www.bailii.org/uk/cases/UKICO/2020B/fs50806987.html
