Information on regulated firms dealing with investments - 6 December 2021

Please confirm the current number of regulated firms that hold both of the following permissions:

1. Advising on investments (except on Pension Transfers and Pension Opt Outs)
2. Arranging (bringing about) deals in investments

Please also confirm the above as of 31 December 2020 and 31 December 2019 and 31 December 2018.

Please provide a full list of firms that hold the following permission:

1.  Advising on Pension Transfers and Pension Opt Outs (to allow them to advise on a pension transfer)

Please only provide the firms with full pension transfer permissions and not those who have limited their permissions to GARs).

Questions 1 and 2

The first 2 rows of the table above show the number of regulated firms for both permission types:

1. Advising on investments (except on Pension Transfers and Pension Opt Outs)
2. Arranging (bringing about) deals in investments

as of 31-12-2018, 31-12-2019, 31-12-2020 and 29-11-2021.

Question 3

The list of 1200 firms with permission ‘Advising on Pension Transfers and Pension Opt Outs’ can be seen in the annex below. As requested, the list only includes firms with full permission.