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731044

registered interest
date	21/06/2017
answering body	Department for Business, Energy and Industrial Strategy
answering dept id	201
answering dept short name	Business, Energy and Industrial Strategy
answering dept sort name	Business, Energy and Industrial Strategy
house id	2
legislature	25277 pref label House of Lords
question text	Her Majesty's Government how many businesses have (1) requested access to, (2) been issued an invitation from, and (3) submitted reports to, the new online service for reporting business payment practices and performance established under the Reporting on Payment Practices and Performance Regulations 2017 No 395.
tabling member printed	Lord Mendelsohn
uin	HL52
answer	answer is ministerial correction date of answer 28/06/2017 answer text <p>So far, over 150 businesses have requested access and have been issued an invitation to the payment practices reporting online service. Businesses are able to receive an invitation by emailing a request to <a href="mailto:paymentpracticesreporting@beis.gov.uk" target="_blank">paymentpracticesreporting@beis.gov.uk</a>. Businesses in scope of the requirement must publish payment practices and performance information for their financial year starting on or after 6 April 2017. As of June 2017, no reports have been published, as businesses will start mandatory reporting from October 2017, depending on their financial year dates.</p> answering member printed Lord Prior of Brampton question first answered 28/06/2017 11:11:47 answering member 127 label Biography information for Lord Prior of Brampton
tabling member	4286 label Biography information for Lord Mendelsohn

724459

registered interest
date	25/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
question text	To ask Her Majesty’s Government on which occasions the Financial Conduct Authority imposed a financial penalty on a firm or individual since 2007.
tabling member printed	Lord Mendelsohn
uin	HL6850
answer	answer is ministerial correction date of answer 27/04/2017 answer text <p>Information on the FCA’s enforcement powers and its policy on financial penalties is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> answering member printed Baroness Neville-Rolfe grouped question UIN HL6851 HL6852 HL6853 HL6854 question first answered 27/04/2017 10:52:43 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

724460

registered interest
date	25/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
question text	To ask Her Majesty’s Government whether the Financial Conduct Authority (1) has taken disciplinary action against individuals since 2007 and if so how many; and (2) whether records are kept of those individuals or firms who faced disciplinary action after a fine was imposed.
tabling member printed	Lord Mendelsohn
uin	HL6851
answer	answer is ministerial correction date of answer 27/04/2017 answer text <p>Information on the FCA’s enforcement powers and its policy on financial penalties is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> answering member printed Baroness Neville-Rolfe grouped question UIN HL6850 HL6852 HL6853 HL6854 question first answered 27/04/2017 10:52:43 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

724461

registered interest
date	25/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
question text	To ask Her Majesty’s Government in how many instances since 2007 the Financial Conduct Authority has increased a financial penalty as a result of a firm failing to take the disciplinary action required by the Authority.
tabling member printed	Lord Mendelsohn
uin	HL6852
answer	answer is ministerial correction date of answer 27/04/2017 answer text <p>Information on the FCA’s enforcement powers and its policy on financial penalties is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> answering member printed Baroness Neville-Rolfe grouped question UIN HL6850 HL6851 HL6853 HL6854 question first answered 27/04/2017 10:52:43 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

724462

registered interest
date	25/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Conduct
house id	2
legislature	25277 pref label House of Lords
question text	To ask Her Majesty’s Government how many times the powers in the Financial Services and Markets Act 2000 to impose requirements on firms to change their behaviour have been used and whether they will list each occasion and what requirements were requested.
tabling member printed	Lord Mendelsohn
uin	HL6853
answer	answer is ministerial correction date of answer 27/04/2017 answer text <p>Information on the FCA’s enforcement powers and its policy on financial penalties is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> answering member printed Baroness Neville-Rolfe grouped question UIN HL6850 HL6851 HL6852 HL6854 question first answered 27/04/2017 10:52:43 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

724463

registered interest
date	25/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
question text	To ask Her Majesty’s Government what proportion of the financial penalties imposed by the Financial Conduct Authority since 2007 have been accompanied by the use of powers in the Financial Services and Markets Act 2000 to require changes to a firm's or individual’s behaviour.
tabling member printed	Lord Mendelsohn
uin	HL6854
answer	answer is ministerial correction date of answer 27/04/2017 answer text <p>Information on the FCA’s enforcement powers and its policy on financial penalties is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> answering member printed Baroness Neville-Rolfe grouped question UIN HL6850 HL6851 HL6852 HL6853 question first answered 27/04/2017 10:52:43 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

723749

registered interest
date	24/04/2017
answering body	Department for Business, Energy and Industrial Strategy
answering dept id	201
answering dept short name	Business, Energy and Industrial Strategy
answering dept sort name	Business, Energy and Industrial Strategy
hansard heading	Public Houses
house id	2
legislature	25277 pref label House of Lords
question text	To ask Her Majesty’s Government what progress has been made implementing and enforcing the pubs code.
tabling member printed	Lord Mendelsohn
uin	HL6791
answer	answer is ministerial correction date of answer 27/04/2017 answer text <p>The Office of the Pubs Code Adjudicator (PCA) is up and running. Tenants are raising issues and queries with the PCA via the helpline and website, and referring cases to him under the Pubs Code. On 21 April 2017, Paul Newby, the PCA, announced the latest figures on completed arbitration cases. The total number of cases in which the Adjudicator has made awards is 25, including the five cases announced on 9 March 2017. The PCA currently has 97 cases at different stages within the arbitration process.</p> answering member printed Lord Prior of Brampton question first answered 27/04/2017 11:49:41 answering member 127 label Biography information for Lord Prior of Brampton
tabling member	4286 label Biography information for Lord Mendelsohn

723750

registered interest
date	24/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
question text	To ask Her Majesty’s Government, for each fine imposed by the Financial Conduct Authority since 2007, what was (1) the amount of the fine before any discounts arising from early settlement, (2) the amount paid, and (3) the amount of any discounts applied.
tabling member printed	Lord Mendelsohn
uin	HL6792
answer	answer is ministerial correction date of answer 26/04/2017 answer text <p>Information on the FCA’s enforcement powers and its policy for financial penalty is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>The FCA does not seek to agree specific disciplinary action firms should take against individuals. If the FCA thinks that disciplinary action should be taken against individuals, it can and does take that action itself.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> answering member printed Baroness Neville-Rolfe grouped question UIN HL6793 HL6794 HL6795 HL6796 question first answered 26/04/2017 16:12:54 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

723751

registered interest
date	24/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
question text	To ask Her Majesty’s Government on how many occasions the Financial Conduct Authority has exercised its powers to increase a fine that it has already imposed; and, in each case, what were the reasons for the exercise of those powers.
tabling member printed	Lord Mendelsohn
uin	HL6793
answer	answer is ministerial correction date of answer 26/04/2017 answer text <p>Information on the FCA’s enforcement powers and its policy for financial penalty is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>The FCA does not seek to agree specific disciplinary action firms should take against individuals. If the FCA thinks that disciplinary action should be taken against individuals, it can and does take that action itself.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> answering member printed Baroness Neville-Rolfe grouped question UIN HL6792 HL6794 HL6795 HL6796 question first answered 26/04/2017 16:12:54 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn

723752

registered interest
date	24/04/2017
answering body	HM Treasury
answering dept id	14
answering dept short name	Treasury
answering dept sort name	CaTreasury
hansard heading	Financial Services: Fines
house id	2
legislature	25277 pref label House of Lords
question text	To ask Her Majesty’s Government what are all the factors they, and the Financial Conduct Authority (FCA), consider as aggravating a breach of conduct for which a fine may be imposed by the FCA, which may lead to an increase in that fine.
tabling member printed	Lord Mendelsohn
uin	HL6794
answer	answer is ministerial correction date of answer 26/04/2017 answer text <p>Information on the FCA’s enforcement powers and its policy for financial penalty is set out in detail in the enforcement section of their website, and in their Handbook.</p><p> </p><p>The FCA does not seek to agree specific disciplinary action firms should take against individuals. If the FCA thinks that disciplinary action should be taken against individuals, it can and does take that action itself.</p><p> </p><p>We have passed Lord Mendelsohn’s questions on to the FCA, who will reply directly to him by letter. A copy of the letter will be placed in the Library of the House.</p> answering member printed Baroness Neville-Rolfe grouped question UIN HL6792 HL6793 HL6795 HL6796 question first answered 26/04/2017 16:12:54 answering member 4284 label Biography information for Baroness Neville-Rolfe
tabling member	4286 label Biography information for Lord Mendelsohn