Information on Appointed Representative and Survey response - January 2020

I am writing to request further information on the FCA’s recent RDR/FAMR review file information request. A copy of this request was recently published on the FCA’s FOI disclosure log as Annex B to FOI 6728. This FOI also confirms that in August the information request was sent to 379 firms , of which 11 do not have permission to offer financial advice, and an additional 76 firms are appointed representatives and do not have direct permissions to offer financial advice. 

Please provide the following information:

- How many of the 379 firms completed the survey by the deadline of Tuesday 1 October 2019?

- How many of the 76 appointed representatives completed the survey by the deadline of Tuesday October 1 2019?

- How many of the 11 firms which did not have permission to offer financial advice completed the survey by the deadline of Tuesday 1 October 2019.

- How would the FCA categorise those firms who the request was sent to but did not have financial advice permissions? I.e. what permissions do they have/what principal markets do they operate in?

- How many extensions to the deadline were granted?

- How many firms did not complete the survey by their extended deadline, and what action has/will the FCA take in these instances?