The aim of our Disclosure Log is to keep in one place information that we have released under the Freedom of Information Act and which we think is of wider public interest. Find the Disclosure Log for 2020 below.
Below is a list of some of the disclosures made under the Freedom of Information Act, which we consider to be of wider public interest, with a short summary of each document and the date it was released. To preserve the integrity of the original documents, all files are in Adobe Acrobat (PDF) format and have not been formatted for accessibility. The list will be extended as items that we consider to be of wider public interest are requested and released.
Some responses to Freedom of Information requests consist of large numbers of documents that are not held in an electronic format. Where practical, these documents have been scanned and made available electronically.
However, in certain cases the volume of material involved has made this impractical and the information can be provided in a hard copy format only. For information about how to access any such material, please call 020 7066 4406 or email us at: [email protected]
Date of release |
Subject |
Reference |
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December 2020 |
With reference to the information previously disclosed by the FCA in response to FOI6825 and FOI6832 (available on the FCA's online disclosure log) I would like to request up to date information on the statistics below. Statistics on criminal investigations
Statistics on civil investigations
Statistics on dual track investigations
COVID:
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FOI7640 response |
December 2020 | Would you kindly provide the number of firms formally seeking authorisation in Digital Assets (Crypto Currency) for either 1) Authorisation as an OTF/MTF or 2) Any other authorisation? | FOI7803 response |
December 2020 |
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FOI7821 response |
December 2020 |
In reference to a previous FOI (ref: FOI7295), I would like to know the following:
Please provide this data broken down by month, for each of the following months:
If that is not possible, please provide the data broken down by quarters for 2020 (January – March), (April - June) and (July – September), (October – December). |
FOI7856 response |
December 2020 |
Request 1:
Request 2:
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FOI7817 response |
December 2020 |
The number of FCA authorised businesses that have had their authorisation withdrawn I would like the data broken down for each of the last five years with a year-end date of 31 October or whichever year-end is most convenient. If you cannot provide data for each of the last five years, then please provide data for each of the last three years. If that is not possible, then please provide data for each of the most recent two years. |
FOI7829 response |
December 2020 |
For each year since 2017: 1. How many investigations into money laundering have been opened? |
FOI7816 response |
December 2020 |
It was noticed that on your fines (enforcement page), there is a significantly less number of firms being fined. https://www.fca.org.uk/news/news-stories/2020-fines
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FOI7815 response |
December 2020 |
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FOI7857 response |
December 2020 |
I'm not sure if the FCA holds this information but I was looking for two reports. They are both relating to the number of sales transactions for a given type of mortgage.
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FOI7860 response |
December 2020 |
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FOI7577 response |
December 2020 |
The total number of suspected phishing and scam emails, texts and voice calls reported to your organisation over the last 9 full calendar months January - September 2020. Please break the data down by month, for example: January
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FOI7736 response |
December 2020 | How many data breaches have been reported or referred to the FCA so far in 2020, broken down by month, and how many were opened in total in 2019, also broken down by month? | FOI7804 response |
December 2020 | Please provide the data for the past five years, broken down by year for the past six years, i.e. 2015 to 2020 (to date). Could you please provide the data in xls format comprising the following:
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FOI7810 response |
December 2020 |
Would you kindly provide statistics on the following: 1) FCA Innovation Hub https://www.fca.org.uk/firms/innovate-innovation-hub a) How many UK-based firms did the FCA Innovation Hub work with for 2020? 2019? 2018? 2017? b) For each year, kindly state the number of women-owned businesses that the FCA Innovation Hub worked with? Likewise, for minority-owned businesses. 2) FCA (logged as a new request under reference FOI7835): a) Has the FCA engaged with non-authorised firms, or their individual representatives, regarding any regulatory issues? (These statistics should not include any firms involved in the FCA Innovation Hub). If so, please provide the number of firms for 2020, 2019, 2018, 2017. b) Has the FCA engaged with any non-authorised firms, or their individual representatives, regarding transaction reporting issues? (These statistics should not include any firms involved in the FCA Innovation Hub). If so, please provide the number of firms for 2020, 2019, 2018, 2017. |
FOI7805 response |
December 2020 |
I would like information about your appointed representative application process over the last 18 months.
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December 2020 |
Please use this as reference - https://www.handbook.fca.org.uk/handbook/SUP/10C/4.html I would like this information for each question for each of the last five years with a year end date 31 March - I.E. April 1 2019 - March 31 2020. If this is not possible, please could the data be broken down by calendar year - I.E. January 1 2019 - December 31 2019. Please specify which year-end is used in your response. If you cannot provide data for each of the last five years, then please given me the data for each of the last three years. If this is also not possible, then please give me the data for each of the last two years. |
FOI7795 response |
December 2020 |
From your retail intermediary market report 2019 (link below), does the number of staff that advise on retail investments in Figure 5 include financial advisers working at wealth management firms and private banks? If so, please can you provide a breakdown which includes these segments https://www.fca.org.uk/data/retail-intermediary-market-2019 Total number of advisers for the larger firms |
FOI7799 response |
December 2020 |
Could you please let me know the following from your product sales data?
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December 2020 |
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FOI7814 response |
December 2020 |
I would like the following information about Retirement Interest Only Mortgages:
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FOI7770 response |
December 2020 |
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FOI7787 response |
November 2020 |
I am requesting a list of all firms on the FCA's register that have or have had claims management company authorisation. Further and assuming it does not jeopardise the request above, I want data as to whether or not a firm is currently authorised. In addition, separately, I want up to date information (as of the day this request is received) on: How many CMCs are now operating in the market with full regulatory authorisation? How many are still in the application process? I am also requesting, assuming this does not jeopardise my above requests, information as to the number of CMCs that have been authorised by the FCA and later had permissions removed. |
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November 2020 |
How many clone firm warnings has the FCA issued in 2015, 2016, 2017, 2018, 2019 and so far in 2020? Of these, how many involved the use of a paid advert on a search engine or social media platform? On a month-by-month basis, how much has the FCA spent on search engine adverts between 2015 and October 2020? |
FOI7762 response |
November 2020 |
Clarified request (29/10/2020): 1. Your request refers to 'Independent Financial Advisers'. Advisers can offer either an independent or a restricted service. Can you please confirm whether you are seeking information for the whole financial advice sector, or split between independent or restricted advice? 1. I am not interested in the information on the whole financial advice sector but instead just the independent financial advice sector. 2. You have also asked for "funds under management" per firm. However, please note that financial advice firms do not have 'funds under management'. Whilst financial advisers provide regulated financial advice they do not manage investments on behalf of investors the way that fund or asset managers do. 2. Yes apologies, it isn't the 'FUM' but rather the funds under advice which is of interest to me. 3. What do you mean by "other financial information"? 3. By 'other financial information' what was meant is data from the firm's financial statements such as total revenue and expenses, P/L; total assets, total liabilities, cash at hand; and also number of employees. - if available. 4. The list previously disclosed under reference FOI3002 (as per the link provided in your request) relates to firms "that fell within the Financial Services Compensation Scheme's investment intermediary subclass" for specific years. This seems unrelated to your request for a "list of currently active Independent Financial Advisors". Can you please confirm whether this reference is correct? 4. The reference is in fact incorrect. I am not interested in a list of firms "that fell within the Financial Services Compensation Scheme's investment intermediary subclass" but rather a list of currently active Independent Financial Advisors as you stated. Original request (02/10/2020): Information regarding the list of currently active Independent Financial Advisors, and if available with the total number of employees per firm, and total amount of client assets (Funds under management) per firm, and other financial information. If I'm not mistaken, this list was https://www.fca.org.uk/publication/foi/foi3002-information-provided-1.pdf for the year 2011-2012. However, this list is outdated and includes restricted advisors (not IFAs) and does not show firm size, etc. |
FOI7696 response |
November 2020 |
Information on the number of prosecutions pursued and convictions obtained by the FCA in the period 1 January 2010 – 1 October 2020 in relation to all criminal money laundering offences under the following statutes and regulations:
|
FOI7760 response |
November 2020 | I would like to know how many investigations/enforcement actions the FCA currently has underway against individuals who have been convicted of non-financial criminal offences. Please break down these individuals into categories such as sexual/violent/etc, or those used internally by FCA to categorise. I would also like the individuals categorised by FS sector (eg IFA/asset manager/hedge fund/private equity/banking/insurance/etc). | FOI7779 response |
November 2020 | 1. Under section 3A.01, I would like to know the number of notices of ceasing to perform senior management functions the FCA has received where the reason given was:
2. Under section 3B.01, I would like to know the number of notices of ceasing to perform controlled functions the FCA has received where the reason stated was:
Please separate the data for each reason given and for senior management functions and controlled functions. I would like the data broken down for each month for each of the last five years with a year-end date of 30 September or whichever year-end is most convenient. If you cannot provide data for each month for each of the last five years, then please provide data for each month for each of the last three years. If that is not possible, then please provide data for each month for each of the most recent two years. If you cannot break the data down for each month, then please break the data down for each of the last five years with a year-end of 30 September or whichever year-end is most convenient. If you cannot provide data for each of the last five years, then please provide data for each of the last three years. If that is not possible, then please provide data for each of the most recent two years. |
FOI7756 response |
November 2020 |
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FOI7699 response |
November 2020 |
A while ago you kindly shared all firms with me which had investment management permissions. I would be grateful if you could provide me with an updated version. |
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November 2020 |
I have FOI requests in regards to crypto-asset registration.
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FOI7662 response |
November 2020 |
This is a repeat of my request last year (ref FOI 6817), but in relation to data for the current year ended 31 March 2020. In your recent Retirement income market data 2019/20 data release you included information on policies and flows, but did not have any update on the stock positions. You have previously disclosed this stock data in Data Bulletin: September 2018, Issue 14. Could you please publish the aggregated Retirement Income Stock Data you collected in Part 1 (questions 4-16) of the REP016 retirement income market study data return, for the period March 2019 - March 2020? It would be helpful if you could include this aggregated stock data in the underlying data spreadsheet in future annual retirement income data releases to help monitor scale and growth trends in the retirement income market. |
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November 2020 |
I'm seeking the following information under the Freedom of Information Act:
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FOI7717 response |
November 2020 |
Based on the FCA's explanation of how it regulates senior management functions (https://www.fca.org.uk/firms/approved-persons/senior-management-functions), how many interviews has the FCA held with individuals applying for senior management function roles prior to approving them? If it is possible to break this data down by subsectors of the financial services industry (e.g. banks, insurers, asset managers, or whichever breakdown is used internally by the FCA), please do so. I would like this data for each of the last five years, preferably with a year end date of September 30. If this data is not available with this year end, please use whichever year end is used internally by the FCA. If five years of data are not available, please supply three years. If this is not possible, please supply two years of data. |
FOI7714 response |
November 2020 |
Under the Freedom of Information Act and in reference to a previous FOI response (your ref: FOI7337), I would like to know the following:
Please provide this data broken down by quarter for each of the last five years, with a year-end of June 30 (or the latest quarter available). If you are unable to provide the data for the last five years, please just provide it for each of the last three years. If this is not possible, please provide the data for each of the last two years. If this is not possible, please provide the data for the latest year available. CLARIFICATION:
If providing this data is outside of the FOIA limit, please just prioritise the quarters for 2018, 2019 and 2020. If it is not possible to provide the data broken down by quarter then please provide the data broken down by year for each of the following periods:
Please do let me know if you require any further clarification on the above. |
FOI7593 response |
November 2020 | This is an FOI request in the public interest for any or all of the following information:
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FOI7708 response |
October 2020 |
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FOI7691 response |
October 2020 |
Refinement of FOI7548 limited to questions 1 and 3: 1. Details of the number of SARs sent by the FCA to NCA during 2019; 3. A copy of any internal guidance the FCA has for its staff on the submission of SARs to the NCA |
FOI7680 response |
October 2020 |
Request 1 The FCA's Q4 2019/20 register of skilled persons reports (s166) (https://www.fca.org.uk/publication/data/skilled-persons-q4-19-20.pdf) shows 9 s166 reports were commissioned for retail banking and a further 6 commissioned for retail lending. 1. How many of these firms are classed or class themselves as Fintechs? 2. Of the fintechs in this cohort of s166s what were the "lots" or types of reports commissioned (ie client assets, financial crime etc as per the FCA categories)? 3. How many firms classed as fintechs were subject to s166s in Q1 2020/21? 4. What were the "lots" or types of reports commissioned (ie client assets, financial crime etc as per the FCA categories)? Request 2 5. How many s166 skilled persons reports have been commissioned for firms that took part in the FCA's sandbox programme? 6. What "lots" or types of reports were commissioned (ie using the FCA categories https://www.fca.org.uk/publication/documents/skilled-person-panel-lot-descriptions.pdf)? |
FOI7430 response |
October 2020 |
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FOI7673 response |
October 2020 |
I am making a request for information under the Freedom of Information Act about agreements made under ss. 71-74 of the Serious Organised Crime and Police Act 2005 (SOCPA) by the FCA. I would like to have a set of specific, discrete data, please: (i) How many 'full immunity notice' agreements were made by the FCA under s.71 SOCPA for the time period 1 April 2020 to 30 September 2020? (ii) How many 'restricted-use undertaking' agreements were made by the FCA under s.72 SOCPA for the time period 1 April 2020 to 30 September 2020? (iii) How many 'co-operating witness' agreements were made by the FCA under s.73 SOCPA for the time period 1 April 2020 to 30 September 2020? (iv) How many 'sentence review' agreements were made by the FCA under s.74 SOCPA for the time period 1 April 2020 to 30 September 2020? |
FOI7682 response |
October 2020 |
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FOI7622 response |
October 2020 |
Refinement received: I would like to issue a refined freedom of information request as outlined below:
Question 1 I am attempting to get an update on the FCA's latest analysis of the intermediary sector based on data drawn from the Retail Mediation Activities Return (RMAR). I am interested in the FCA's figures on the professional indemnity insurance market related to regulated adviser firms. Table 5 in this link (https://www.fca.org.uk/data/retail-intermediary-market-2018#pii) gives a breakdown of professional insurance indemnity premiums paid by financial adviser firms. Would the FCA be able to provide these figures below: The proportion of financial adviser firms with an exclusion of any kind on their PI policy on an annualised basis for 2018, 2017, 2016, 2015. Provide a breakdown of reported exclusion by the following categories:
Question 2 I am attempting to get an update on the FCA's latest analysis of the intermediary sector based on data drawn from the Retail Mediation Activities Return (RMAR). Table 5 in this link (https://www.fca.org.uk/data/retail-intermediary-market-2018#pii) gives a breakdown of professional insurance indemnity premiums paid by financial adviser firms. Can you provide data in Table 5 but only include regulated adviser firms that have or had defined benefit permissions on an annualised basis for 2017, 2016, 2015? |
FOI7669 response |
October 2020 |
Period required - 1 January 2014 to 31 December 2019 I would like to know how many
have been given to approved persons based solely on offences and/or convictions committed in the course of their personal life (i.e. non regulatory) |
FOI7674 response |
October 2020 |
I am requesting, under the terms of the Freedom of Information Act 2000, information on the number of prosecutions in England & Wales for the period January 2010 to September 2020 of (separately): (a) companies; and (b) individuals, for the category of "white collar crime", defined as the following offences:
These are categories of offences that are listed in the most recent criminal justice statistics publication, found at the following link: https://www.gov.uk/government/statistics/criminal-justice-system-statistics-quarterly-december-2019 |
FOI7659 response |
October 2020 |
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October 2020 |
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FOI7666 response |
October 2020 |
Under the freedom of information act and with reference to a previous FOI FOI6796, I would like to know
I would like the data for Q3 and Q4 2019, and Q1 Q2 Q3 2020 (i.e. covering the quarters since the previous response in FOI 6796) |
FOI7690 response |
October 2020 | Please provide a list of businesses registered with the FCA who offer safe custody services. | |
October 2020 |
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FOI7665 response |
October 2020 |
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FOI7667 response |
October 2020 |
Please provide the following information for the companies that you regulate and/or authorise for the period Jul-Sep 2020: Number of reportable data breaches made to FCA individually or in conjunction with the ICO - calculated monthly and categorised by sector. |
FOI7670 response |
October 2020 |
I would like to request the FCA's data on the total number of firms that are authorised to give financial advice that have been contacted by the FCA regarding misleading financial promotions online between 1 January 2019 and 1 August 2020. I request this information in an email response, in a table where convenient, but otherwise at the FCA's discretion. If it is not possible to provide the information requested due to the information exceeding the cost of compliance limits identified in Section 12, please provide advice and assistance, under the Section 16 obligations of the Act, as to how I can refine my request. If you need any clarification on any part of my request then please contact me using this email address. Under your section 16 duty to provide advice and assistance I would expect you to contact me if you find this request unmanageable in any way before the twentieth working day. If for any reason you are not able to fulfil all parts of my request, please respond to those that you can respond to, setting out your reasons for not responding to the entire request. I would be grateful if you could confirm in writing that you have received this request, and I look forward to hearing from you in the near future. I would like this communication to be delivered via email. |
FOI7571 response |
October 2020 |
For each of the periods (i) 1 April 2015 to 31 March 2016; (ii) 1 April 2016 to 31 March 2017; (iii) 1 April 2017 to 31 March 2018; (iv) 1 April 2018 to 31 March 2019; (v) 1 April 2019 to 31 March 2020; and (vi) 1 April 2020 to the date of preparation of the response to this request, please provide (in each case in relation to the exercise of competition enforcement powers only): (a) the number of 'advisory letters' the FCA issued; (b) the number of 'on notice letters' the FCA issued; (c) the number of open enforcement investigations the FCA conducted; (d) the number of Statement of Objections the FCA issued; (e) the number of enforcement investigations the FCA closed (with or without action taken); (f) the number of enforcement investigations the FCA closed with no action taken; and (g) the number of enforcement investigations the FCA closed resulting in a financial penalty. For each of the responses provided in response to parts 1(a) to 1(g) above, please provide a breakdown showing whether the applicable enforcement powers were exercised under: (i) Chapter 1 of CA98; (ii) Chapter 2 of CA98; (iii) Article 101 of the Treaty on the Functioning of the European Union (TFEU); and/or (iv) Article 102 of TFEU. |
FOI7646 response |
October 2020 |
Please provide the following information under the Freedom of Information Act. Where possible, a response before the 12 October 2020 would be appreciated. 1. How many Enforcement investigations have been opened for potential breaches of Article 15 Market Abuse Regulation (MAR) since 1 March 2020 2. Of those, how many concern market manipulation as defined in the following a. Article 12(1)(a) MAR b. Article 12(1)(b) MAR c. Article 12(1)(c) MAR d. Article 12(1)(d) MAR 3. How many Markets Oversight investigations have been commenced into issuer announcements and/or failure to disclose inside information between 1 March 2020 and 1 September 2020 as compared to the same period in 2019. 4. Since the Market Abuse Regulation came into force, how many enforcement investigations has the FCA opened concerning Article 15 and Article 12(1)(c) MAR (disseminating information which gives false or misleading signals etc) into someone who was not an issuer of the financial instruments in question? If possible please specify the number of investigations according to the following categories: a. issuer employee / other issuer representative b. journalist c. research provider d. social media platform / user e. other market participant 5. FOIA response FOI7123 indicates that in 2018 the FCA opened 1 spoofing investigation in 2018 and none in 2019. How is spoofing defined for these purposes? |
FOI7641 response |
October 2020 |
Subject matter: CP20/11 - Complaints against the Regulators Business area/division - not known (could be public affairs) Dates - 20 July 2020 to 10 September 2020 On 11 September 2020 the Financial Conduct Authority and Bank of England issued a joint open letter to the Treasury Committee containing a claim that, 'As part of the consultation process, from the outset we have proactively sought input from users of the scheme as well as consumer organisations.' Please clarify how many users of the scheme and how many consumer organisations the FCA proactively sought input from, and how they were selected. |
FOI7663 response |
October 2020 |
1. Please can you confirm the current number of open FCA enforcement investigations? 2. Please can you confirm how many of the enforcement investigations referred to in the response to 1. are into: a. Firms? b. Individuals? 3. Please can you confirm how many of the enforcement investigations referred to in the response to 2b. are into: a. Individuals who are classified as Senior Managers under the Senior Managers and Certification Regime (the SMCR)? b. Individuals who are identified by their firms as being Certified Persons for the purposes of the SMCR? c. Individuals who are neither Senior Managers nor Certified Persons but are required to comply with the FCA's Code of Conduct (COCON)? 4. How many enforcement investigations does the FCA have open into alleged 'non-financial misconduct'? By non-financial misconduct, we mean the conduct referred to by the FCA in various speeches and publications as including alleged sexual misconduct, harassment, bullying, discrimination, intimidation, favouritism and/or exclusion. 5. How many of the enforcement investigations referred to in 4. above are into: a. Firms? b. Individuals? |
FOI7637 response |
October 2020 |
Updated Request: 22/09/2020 Since the timescale has changed, please can we ask that the data is from the time period 1st January - 19th August 2020. With this in mind, please find the time period specified in the questions below.
Original request: 19/08/2020 I am writing to make an open government request for all the information to which I am entitled under the Freedom of Information Act 2000. Please can you tell us:
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FOI7583 response |
October 2020 |
I would like to request the FCA's data on the total number of firms that are authorised to give financial advice that have given up and/or restricted their defined benefit transfer permissions at the request or instruction of the FCA between January 1 2020 and August 1 2020. I request this information in an email response, in a table where convenient, but otherwise at the FCA's discretion. |
FOI7567 response |
October 2020 |
I would like to request the FCA's data on the total number of firms that are authorised to give financial advice that have had Asset Retention Requirements imposed on them by the FCA between 1 August 2019 and 1 August 2020. I request this information in an email response, in a table where convenient, but otherwise at the FCA's discretion. If it is not possible to provide the information requested due to the information exceeding the cost of compliance limits identified in Section 12, please provide advice and assistance, under the Section 16 obligations of the Act, as to how I can refine my request. If you need any clarification on any part of my request then please contact me using this email address. Under your section 16 duty to provide advice and assistance I would expect you to contact me if you find this request unmanageable in any way before the twentieth working day. If for any reason you are not able to fulfil all parts of my request, please respond to those that you can respond to, setting out your reasons for not responding to the entire request. I would be grateful if you could confirm in writing that you have received this request, and I look forward to hearing from you in the near future. I would like this communication to be delivered via email. |
FOI7572 response |
October 2020 |
Clarified request: Please respond with details on both points, 1 and 2 on the 55 firms whose files were checked. Aggregated requests: Request 1: 1. As part of the FCA's market-wide review into DB transfer advice in 2019/20 - how many firms where found to be charging clients on a contingent basis for DB transfer business? 2. Of those, what was the total percentage of DB transfers that went ahead when charged on a contingent basis? Request 2: 3. During the FCA's market-wide review in DB transfer business, how many firms were found to have inadequate/or no professional indemnity insurance cover in place? |
FOI7438 response |
October 2020 |
Clarified request 07/09/2020 When we refer to 'Investment Firms' we mean 'Markets in Financial Instruments Directive (MiFID) investment firms' (and not Alternative Investment Fund Managers Directive firms). Original request 07/08/2020 1. The total number of investment firms in the UK 2. The breakdown of this number into the following categories: a) Exempt CAD b) CRR limited license c) CRR full scope |
FOI7538 response |
October 2020 |
Q1) How many enforcement investigations have been opened under the Senior Managers Regime, since it came into force on 7 March 2016, where one or more of the individuals investigated is a Senior Manager? Q2) How many successful enforcement actions have been taken, as a result of an investigation opened under the Senior Managers Regime, since it came into force on 7 March 2016, where one or more of the individuals investigated is a Senior Manager? Q3) How many enforcement investigations opened under the Senior Managers Regime, where one or more of the individuals investigated is a Senior Manager, remain open as of 7th September 2020? |
FOI7615 response |
October 2020 | I am currently researching debt collection call centers in the UK that are FCA accredited, can you provide me with a list of these? |
FOI7627 response |
October 2020 |
Under the Freedom of Information Act and in reference to a previous FOI (ref: FOI6916), I would like to know:
Please could I have the data broken down by the following quarters:
Please do not hesitate to contact me if you have any questions on the above. |
FOI7614 response |
September 2020 |
In reference to the below FOI response - Our Ref: FOI7503 Under the Freedom of Information Act, I would like to know:
I would like data for each question for each of the following periods:
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FOI7625 response |
September 2020 |
I am writing to request information as set out below under the Freedom of Information Act 2000. I should be grateful if you could please send me: 1. How many open investigations are you currently running related to insider dealing? 2. How many open investigations are you currently running related to market manipulation/abuse? 3. The number of reported incidents involving insider dealing or market manipulation/abuse in the financial years: 4. The number of investigations conducted in relation to insider dealing or market manipulation/abuse in the financial years: 5. The number of charges raised which involved insider dealing or market manipulation/abuse in the financial years: 6. The number of convictions involving insider dealing or market manipulation/abuse in the financial years: If you could include the alleged values involved, that would be most helpful. |
FOI7558 response |
September 2020 |
I would like to know the number of investigations into asset management firms that took place in the following periods: - Calendar year 2018-2019 I would also like to know the number of FCA investigations into Authorised Corporate Director (ACD) firms that took place in the following periods: - Calendar year 2018-2019 |
FOI7590 response |
September 2020 | How many 'retirement interest only mortgages' (RIOMs) have been sold to consumers in Q2 2018 and Q2 2020? | FOI7588 response |
September 2020 |
In regard to the below information provided under the freedom of information act by the FCA, I wish to ask under the same legislation what the theme, or themes if multiple, were the complaints about? The above is a following a response to FOI7444: |
FOI7580 response |
September 2020 |
I wrote a piece today following an FOI request sent to you on how many advice firms backed out of their FCA authorised status in 2020 and 2019. (https://www.professionaladviser.com/news/4018653/revealed-advice-firms-giving-authorised-status-jumps). I would now like to write a follow up. see below following clarification - requester advised only Q1 and Q2 should be responded. |
FOI7533 response |
September 2020 | 1. How many criminal investigations of anti-money laundering/know-your-customer (KYC)/financial crime systems and control failures has the FCA launched between 2016 to present? 2. How many of these criminal investigations: - Targeted firms? - Targeted senior management function (SMF) holders? - Which SMFs categories were targeted in each investigation? Please break down question 2 responses by year. 3. How many SMFs have been investigated for anti-money laundering/kyc/financial crime systems and control failures 2016 to present under the Senior Managers & Certification Regime (SMCR)? Please break down response by year and SMF type. 4. How many criminal investigations for anti-money laundering/kyc/financial crime and control failures 2016 to present have been closed by the FCA without further action? Please break down response by investigations into firms and SMFs. 5. How many criminal investigations for anti-money laundering/kyc/financial crime systems and control failures 2016 to present are still open? Please break down response by investigations into firms and SMFs. 6. How many criminal investigations for anti-money laundering/kyc/financial crime systems and control failures opened between 2016 to present were closed in the last six months? Please break down response by investigations into firms and SMFs. 7. How many investigations into SMFs under SMCR for anti-money laundering/kyc/financial crime systems and control failures has the FCA closed without further action since 2016? How many are still open? How many were closed within the last six months? |
FOI7459 response |
September 2020 |
On 13/2/2020 Mark Steward, FCA Executive Director of Enforcement and Market Oversight, stated that the FCA ordered firms to pay a total of £231 million in restitution over the course of 2019. ( Source: https://www.fca.org.uk/news/speeches/penalties-remediation-and-our-general-principles ) Request: 2) Also Provide 1) for the year 2018. If the FCA deems it necessary to redact the name, please explain the basis, but still provide the amount and other fields. |
FOI7537 response |
September 2020 |
I am trying to understand the impact of the COVID-19 pandemic on the work of the FCA and in particular the impact of the "lock-down" period which began on 23 March 2020. Could you please let me know: • How many new firms has the FCA authorised over the last two years? I would like this information broken down by month, with the year-end June 23rd 2020. I understand that you will treat this request in accordance with your obligations under the Freedom of Information Act 2000. Please note that I am happy to waive aspects of this request if it could lead to meaningful information regarding the impact of the COVID-19 pandemic on the work of the FCA being provided to me in a pragmatic manner. |
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September 2020 |
In reference to a previous FOI response (your ref: FOI7295). Under the Freedom of Information Act, I would like to know the following: 1. The total number of sales of structured products as reported in submissions by FCA regulated firms made to Gabriel in each of the last five years; Please breakdown structured products using whatever categories are used internally. |
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August 2020 | Could you provide me with an update to Tables 1 and 2 that feature in the HCSTC underlying data in this report, with figures for Q2 2020 please. | |
August 2020 | Could you please provide me with a spreadsheet containing the no. and value of HCSTC/payday loans for each calendar day in Q2 2020. If helpful, the attached sheet is what you provided me with for Q1 2020. | |
August 2020 | 1. The total number of sales of annuities as reported in submissions by FCA regulated firms made to Gabriel in each of the last five years; 2. The total value of sales of annuities as reported in submissions by FCA regulated firms made to Gabriel in each of the last five years. Please provide the data broken down by quarter for each of the last five years with a year-end 30 June or whichever year-end date is most convenient. If you cannot provide data for each of the last five years, then please data for each of the last three years. If that is not possible, then please data for each of the most recent two years. |
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August 2020 |
Please may I have an update on the below for 2019 and 2020 for CF10/11s and SMF16/17s (for those who hold both functions and those who hold 10 or 11, or SMF16 or 17. I.e. a pure update on below). FOI5749 Please can I request an update of this for the last five years – with the addition of columns now for SMF16 and 17 holders. FOI4462 How many Control Function 10 Holders are women |
FOI7496 response |
August 2020 |
How many whistleblower inquiries/complaints about firms/advisers did the FCA receive in 2019? How many whistleblower inquiries/complaints about firms/advisers did the FCA receive in 2020 until end of June? |
FOI7444 response |
August 2020 | 1. Please can you provide details of the number of workers raising concerns about wrongdoing or malpractice (whistleblowing) who have contacted you in relation to your duties as a regulator for 2020 to date Where possible, can you please also provide the following details: 2. Whether each individual contacted you on an anonymous, confidential, or self-identified basis, 3. A brief summary of the types of concerns raised 4. If information was passed on to another regulator or enforcement body. If so please indicate the identity of the regulatory body and specify whether the concern was monitored by you following referral. 5. In respect of the above, please identify (if appropriate) whether any subsequent action was taken |
FOI7468 response |
August 2020 |
Under the FOI Act I would like to know: • How many enforcement cases/investigations targeting individuals were opened by the FCA over the last two years? I would like this information broken down by type and by month, with the year-end June 23rd 2020. |
FOI7420 response |
August 2020 |
Dear Information Officer, Thank you for your response to my Freedom of Information request (FOI7311 - Right to know request). In response to question 1, you say that you have not taken any criminal investigation to its conclusion under the 2007 Money Laundering Regulation (MLR). Does that mean you have not prosecuted a firm and/or an individual under the 2007 MLR or that you have prosecuted a firm and/or individual and you have not won? If you have prosecuted cases and not won, can you please specify the cases? Also, would it be correct to assume that if you have not prosecuted a firm or an individual under the 2007 MLR, you have not prosecuted a money laundering case involving a firm or individual since 2007? |
FOI7474 response |
August 2020 |
Thank you for your response to our freedom of information request dated 11 June 202. Unfortunately it did not quite give us the information we required and I would like to add some clarification to help return the data I require. I have added the clarification to our original mail and I would be grateful if you could respond accordingly 1. Please can I ask for the number of firms that have been responsible for sending the 400 notifications from firms regarding EMIR Art 9 reporting errors and omissions, from 3 January 2018 to 29 May 2020. 2. MiFIR Transaction Reporting 'Error and Omission form - Please can you tell us how many error and omission forms have been received from 3 January 2018 to 29 May 2020. 3. . Please can you tell me how many MiFIR transaction reports received by the FCA have been corrections of previously submitted reports The field 1 'Status' in conjunction with fields 2 'Transaction Reference Number' and 4 'Executing Entity ID code' the can be used to determine whether the report is a correction. We appreciate that the methodology is convoluted, so we would be grateful if you can simply tell us how many reports were re-conceived in this period where the field 3 'Status' has been populated with a value of 'CANC' |
FOI7472 response |
August 2020 |
1. How many notifications of data breaches were reported by retail banks and payments to the FCA between 01/07/2019 and 31/12/12019? 2. How many notifications of data breaches were reported by retail banks and payments to the FCA between 01/01/2020 and 30/06/2020? 3. How many notifications of data breaches were reported by retail banks and payments to the FCA in the calendar year of 2019 4. How many notifications of data breaches were reported by Atom bank, Revolut, Monzo, Monese, Starling, N26, Triodos Bank and Tandem Bank to the FCA between 01/07/2019 and 30/06/2020? (please note: the total amount of notifications of all these banks is fine, as opposed to a breakdown for each bank) |
FOI7471 response |
August 2020 | Under the Freedom of Information Act, and with reference to previous FOI number FOI6181, I would like to know: 1. The number of new enforcement investigations opened by the FCA 2. The number of enforcement investigations closed by the FCA Please could you provide this information broken down by quarter, I.e. 1 January – 31 March, for the years 2019 and 2020 and broken down by type as per the list below: • Retail conduct • Retail lending • Client money/assets • Financial crime • Mis-selling • Culture/governance • Financial promotions • Wholesale conduct • Insider dealing • Market manipulation • Listing rules/Prospectus rules/DTR breaches • Misleading statements • Benchmarks • Unauthorised business • App. to revoke/very permission or approval Please see this link for reference: https://www.fca.org.uk/publication/foi/foi6181-response.pdf If responding to this request is going to exceed the time limit for one FOI, then please could you provide us with the number of investigations open at the most recent data available by type as per the list above. Please could you specify which date you are using. |
FOI7469 response |
August 2020 |
Under the Freedom of Information Act, I would like to know: Please could you provide this information for the 6 month period from 1 January – 30 June for the years: If responding to this request is going to exceed the time limit for one FOI, then please let me know and I will re-sumbit this request to fit in with your timeframe. |
FOI7447 response |
August 2020 |
I request the following information under the Freedom of Information law: The number of such breaches and funds has been discussed by the FCA in public fora (parliamentary hearings) and media on several occasions. |
FOI7449 response |
August 2020 |
Dear FOI team, |
FOI7448 response |
August 2020 |
Further to FOI6938, I would be grateful if you would treat this as a new request for information. I am interested in updated figures for the following: (1) How many live single track criminal investigations does the FCA currently have ongoing in relation to breaches of the MLR 2007 only? Please provide figures which count live investigations under one category above only (e.g. a single track criminal investigation into breaches alleged to have occurred in May 2003 should only be counted under (1) above and not (3) above) (4) How many live dual track criminal/civil investigations does the FCA currently have ongoing in relation to breaches of the MLR 2007 only? Please provide figures which count live investigations under one category above only (e.g. a dual track criminal/civil investigation into breaches alleged to have occurred in May 2018 should only be counted under (5) above and not (6) above) (7) How many single track criminal investigations into breaches of MLR 2007 and/or MLR 2017 has the FCA discontinued since January 2020? Please note that figures for discontinued investigations need not be separated by MLR 2007 or MLR 2017 |
FOI7445 response |
August 2020 |
I request the following information under the Freedom of Information Act: • The number of active sanctions-related* investigations? *I understand that the FCA investigates whether regulated entities have sufficient internal sanctions controls rather than breaches of sanctions, which lays with OFSI and the NCA. |
FOI7383 response |
August 2020 |
1. You have previously provided details of the numbers of cyber incidents reported to the FCA during the years 2015, 2016, 2017, 2018 and part of 2019 in response to requests FOI6469 and FOI6818. For the dates 2019 (Jan to Dec) and 2020 (Jan to the most recent data available), please set out the total number of incidents reported to the FCA and provide a breakdown of incidents by industry adopting the categories included in your response to request FOI6494, i.e., Retail Banking and Payments, Retail Lending, General Insurance, Pensions and Retirement Income, Retail Investments, Investment Management, Wholesale Financial Markets and by root cause, i.e., Hardware/Software, Change Management, 3rd Party Failure, Cyber Attack, Human Error, Process/Control Failure, Capacity Management, External Factors, Theft, Root Cause not Found). Please also provide a breakdown of the Cyber Attacks using the categories included in your response to request FOI6469, i.e., Phishing / Credential Compromise, Ransomware, 3rd Party Cyber Attack, Malware/Malicious code, DDOS, Root Cause of Attack Unknown and Root Cause Under Investigation. 2. For the dates 2018 (Jan to Dec), 2019 (Jan to Dec) and 2020 (Jan to the most recent data available), please set out the number of reported incidents for which the FCA opened investigations. Please set out the cumulative total for each year as well as the number of investigations for the following categories: Hardware/Software, Change Management, 3rd Party Failure, Cyber Attack, Human Error, Process/Control Failure, Capacity Management, External Factors, Theft, Root Cause not Found, Phishing / Credential Compromise, Ransomware, 3rd Party Cyber Attack, Malware/Malicious code, DDOS, Root Cause of Attack Unknown and Root Cause Under Investigation, Retail Banking and Payments, Retail Lending, General Insurance, Pensions and Retirement Income, Retail Investments, Investment Management, Wholesale Financial Markets. 3. Please set out the number of investigations into cyber incidents the FCA is currently conducting. 4. Please set out the number of investigations involving incidents occurring at outsourced service providers that the FCA is currently conducting. |
FOI7358 response |
August 2020 | 1) From 1 April to 30 June 2020, how many investment firms have reported errors in their transaction reporting 2) From 1 April to 30 June 2020, how many firms has the UK regulator held visits, meetings or conference calls for the specific purpose of discussing the quality of their transaction reporting? 3) From 1 April to 30 June 2020, how many firms have requested a data extract from the regulator's Market Data Processor (MDP) system against which to check the accuracy of their reporting? |
FOI7453 response |
August 2020 | 1. How many firms has the FCA taken enforcement action against so far in 2020? 2. How many advice firms has the FCA taken enforcement action against so far in 2020? |
FOI7456 response |
August 2020 |
I wish to request the below information under Freedom of Information legislation from the FCA. 1. How many advice firms are currently under investigation by the FCA? |
FOI7439 response |
August 2020 |
Section EG 10.3 of the FCA Handbook describes the regulators' ability to apply to the court for an asset-freezing injunction. https://www.handbook.fca.org.uk/handbook/EG/10/3.html 1. How many asset-freezing injunctions has the FCA applied for in the past five years (Jan 2015 to present)? |
FOI7436 response |
July 2020 |
Under Freedom of Information, please provide me with the following: • I would like to know how many mortgages are in negative equity in Northern Ireland. Please also tell me how this compares to the overall number of mortgages – i.e. what percentage of all mortgages in Northern Ireland are in negative equity? • Please provide the most up-to-date figure as well as figures for the past 12 years if possible. (N.B. If 12 years is too long a timeframe then please provide it for the longest period possible dating back from this year.) • If not provided in your response to the above, please also provide a figure for when there were the highest number of mortgages in Northern Ireland in negative equity since the 2008 crash.
In answer to all these questions, please provide your response in Microsoft Excel format, under the headings of 'year', 'number of mortgages in negative equity', 'total number of mortgages' and '% of total mortgages in negative equity'. |
FOI7426 response |
July 2020 |
Please provide the following information for the companies that you regulate and/or authorise over the last 2 years: 1. Number of reportable data breaches made to FCA individually or in conjunction with the ICO under DPA 2018 - calculated monthly and categorised by sector. 2. In regard to this first question, I can see that similar FOI requests have been made over recent months/years and would therefore like you to consider adding this requirement to your Publications Scheme, in accordance with the guidance set out by ICO. This is the sort of regular key information that should be readily available for both the FCA and wider public to better understand the performance of financial companies in the UK. Could you confirm you will take this proposal forward with relevant colleagues and whether this will be undertaken (or not). 3. To the same end, in relation to the 2nd question, a sectoral analysis of whether UK financial companies are entering into BCP/DR situations seems to be perfectly reasonable key performance indicator that should be regularly analysed by the FCA and openly published on the same basis. Please confirm you will take this forward with colleagues and whether it will be regularly published in future (or not). |
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July 2020 |
The number of Controlled Functions automatically converted into equivalent Senior Manager Functions, broken down by year and by type of function. I would like data for each question for each of the last five years with a year-end of March 31. |
FOI7432 response |
July 2020 | 1. How many financial advice firms regulated by the FCA gave up their directly authorised status in the 12 months to the end of June 2020? 2. How many financial advice firms regulated by the FCA gave up their directly authorised status in the 12 months to the end of June 2019? |
FOI7417 response |
July 2020 |
Follow-up to FOI7262 for which we cited the cost limit exemption and offered to consider a refined request: I am attempting to get an update on the FCA's latest analysis of the intermediary sector based on data drawn from the Retail Mediation Activities Return (RMAR). I am interested in the FCA's figures on the professional indemnity insurance market related to regulated adviser firms. Table 5 in this link (https://www.fca.org.uk/data/retail-intermediary-market-2018#pii) gives a breakdown of professional insurance indemnity premiums paid by financial adviser firms. Would the FCA be able to provide these figures below: |
FOI7421 response |
July 2020 |
Under the Freedom of Information Act and in reference to a previous FOI response (your ref: FOI6686), I would like to know the following: • How many inquiries has the FCA opened relating to cryptocurrency businesses (since our last response from September 2019)? |
FOI7337 response |
July 2020 | 1. How many enforcement investigations does the FCA have open regarding potential breaches of CONC 5? 2. How many enforcement investigations does the FCA have open regarding potential breaches of CONC? 3. How many section 166 skilled persons reports in relation to affordability checks have been commissioned by the FCA during the past 24 months? |
FOI7284 response |
July 2020 |
Hi all, Please can you provide a break down of the STORs received between 1 March 2020 - present day, breaking this down by month, by asset class and by type as done here: https://www.fca.org.uk/markets/suspicious-transaction-and-order-reports/number-stors-received-2019 Please can you also let me know the outcomes of these reports in aggregate (eg no action taken for [number] investigation ongoing for [number]), and whether any FCA action has been launched as a result of any of the STORs, and if so what type and for how many reports. |
FOI7408 response |
July 2020 |
Clarified request: 1. How many sexual misconduct reports have been made to the FCA by individuals at businesses registered to carry out insurance operations (insurers, insurance intermediaries, appointed representatives) To clarify - I would like information both on and broken down into: - Number of reports made to the FCA by firms around sexual harassment and discrimination 2. I would also like to know the number of reports made to the FCA about sexual discrimination by individuals at FCA registered insurance businesses (insurers, insurance intermediaries, appointed representatives). To clarify - I would like information both on and broken down into: - Number of reports made to the FCA by firms around sexual misconduct I would like the data broken down by quarter starting from Q1 2014, using the most recent quarter end date that data is held for. Original request: Under the Freedom of Information Act, I would like to know: |
FOI7270 response |
July 2020 |
The FCA sent out a financial resilience survey in June to around 13,000 firms. Firms were given seven days to complete the survey. 1. Of the 13,000 firms which received the survey, how many submitted their answers on time for the deadline? And how many were late or did not respond to the survey at all? 2. Of the above firms, how many financial advice firms submitted their answers on time? And how many advice firms were late in responding or did not respond to the survey at all? 3. Of the advice firms which responded to the survey, how many said the coronavirus crisis threatened their survival? And what was the average amount of time firms which said the crisis threatened their survival expected to remain in business? |
FOI7393 response |
July 2020 |
Clarified 02/06 In reply to this FOI request, I wish to clarify what information I require. You are indeed right on the first point - (We believe you are asking: On the second point, I require: ii) more generally, linked to new or already authorised firms? Original request 22/04 On average, how long it takes the FCA to appoint a case offer to a firm authorisation and CF30 authorisation request? Looking at statistics for 2019, and so far in 2020 to end of April. |
FOI7254 response |
July 2020 | I would like a list of all businesses in the Trust and Company Service Provider Register (TCSP Register) held by the FCA. | FOI7391 response |
July 2020 |
In reference to a previous FOI request your ref: FOI5640 1. How many investigations does the FCA launch into company directors each year. Please provide the data for each of the last five years with a year-end 31st March or whichever year-end date is most convenient. If you cannot provide data for each of the last five years, then please provide data for each of the most recent three years. If this is not possible then each of the most recent two years, if not the most recent year. If any aspect of my request is unclear or if it looks like this request will exceed the time restrictions of the FOIA, then please do contact me. |
FOI7364 response |
July 2020 |
1. Please can you let me know how many firms have submitted an 'EMIR Breach Notification form' to notify the FCA about any errors or omissions in their reports under Art. 9 of EMIR (a) the total number of reports received from 3 January 2018 to 29 May 2020. (b) Additionally, please can you tell me how many firms have submitted a MiFIR Transaction Reporting 'Error and Omission form (c) and the total number of reports received during the same period. 2. Please can you tell me how many MiFIR transaction reports received by the FCA have been corrections of previously submitted reports (a) and what percentage this represents of the overall number of transaction reports submitted to the FCA in the period from 3 January 2018 to 29 May 2020. |
FOI7381 response |
July 2020 | I request the following information under the Freedom of Information Act • The number of active FCA cases; • The number of cases the FCA has closed in the past 12 months; • The number of cases the FCA has closed since (insert day of lockdown) (23 March 2020) • The number of cases opened since (insert day of lockdown) (23 March 2020) • A breakdown of whether closed cases are regulatory, criminal or civil would be appreciated. |
FOI7355 response |
July 2020 | 1. How many firms has the FCA investigated for defined benefit transfer advice misconduct in 2018, 2019, 2020? 2. How many individuals has the FCA investigated for defined benefit transfer advice misconduct in 2018, 2019, 2020? 3. How many firms are currently licensed to provide defined benefit transfer advice? I would like the above information to be provided to me as an electronic copy |
FOI7185 response |
July 2020 | Could you please tell me if you hold data on the number of payday loans taken on each day of the month? If you do, could you please provide me with the daily breakdown for the volume of loans taken on each day, covering the last whole month or quarter? |
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July 2020 | Request Clarified 05/06 Can I please then have the data/information for all of the buckets listed below? • Employed • Self-employed • Retired • Other |
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June 2020 |
Please may I have the figures of new insider dealing cases recorded by the FCA per month from January 2018 to May 2020. If insider dealing cases are not logged, please could I have the monthly figures of new market abuse cases over the same period. If monthly figures are not available, please could I have the figures by reporting period for the same time frame. If you can identify any ways that my request could be refined I would be grateful for any further advice and assistance. Equally if you have any queries please don't hesitate to contact me via email or phone and I will be very happy to clarify what I am asking for and discuss the request, my contact details are outlined below. |
FOI7331 response |
June 2020 |
I would like the data broken down for each of the last five years with a year-end date of April 30 or whichever year-end is most convenient. If you cannot provide data for each of the last five years, then please provide data for each of the last three years. If that is not possible, then please provide data for each of the most recent two years. If it looks as if the work involved in responding to this Freedom of Information Request is going to exceed the time permitted to respond under the Freedom of Information Act, then please prioritise providing responses to requests 1, 2, 3, 4 and 5. |
FOI7322 response |
June 2020 |
Please can you provide the percentage of mortgages that had loan to values exceeding 90% that are unadvised for Quarter 4 2019 Please also provide the number of mortgages that had loan to value exceeding 90% for Quarter 4 2019 |
FOI7325 response |
June 2020 | Please provide updated tables 1 and 2 for the report 'Consumer Credit - high-cost short-term credit lending data' (https://www.fca.org.uk/data/consumer-credit-high-cost-short-term-credit-lending-data-jan-2019) to include as much data as is available for Q1 of 2020. | |
June 2020 |
In reference to a previous FOI response FOI6467: Under the Freedom of Information Act, I would like to know: 1. The number of FCA Senior Managers Regime applications received each year broken down by the following titles as stated in their applications: |
FOI7309 response |
June 2020 |
Has the FCA carried out any supervisory visits at adviser firms since 23 March 2020? Has the FCA been carrying out virtual supervisory meetings with adviser firms since 23 March 2020? If not, how has the FCA been carrying out supervisory work in the advice market since 23 March 2020? |
FOI7292 response |
June 2020 |
Crypto regulations query: The FCA's June 30 deadline for crypto regulations is approaching fast - (https://www.fca.org.uk/firms/financial-crime/cryptoassets-aml-ctf-regime#revisions). How many existing crypto businesses have applied for priority review so far? |
FOI7318 response |
June 2020 |
Please provide the data broken down by quarter for each of the last five years with a year-end 31st March or whichever year-end date is most convenient. If you cannot provide data for each of the last five years, then please data for each of the last three years. If that is not possible, then please data for each of the most recent two years. I am aware that there is some data on sales by life insurers – reference link below. However, I am looking for some more updated data. https://www.fca.org.uk/data/product-sales-data/interpreting-data If it looks like this request will not be possible under the time restrictions of the FOIA, then please prioritise question 1. |
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June 2020 |
In reference to the following FOI response (FOI6864): https://www.fca.org.uk/publication/foi/foi6864-response.pdf In reference to the FCA's deep dive study on Defined Benefit pension transfers: https://www.fca.org.uk/publications/multi-firm-reviews/defined-benefit-pension-transfers Under the Freedom of Information Act, I would like to know: Since the results of the FCA's study on Defined Benefit pension transfers was published in June 2019:
If possible, please provide the data up to the most recent day to the present. |
FOI7278 response |
June 2020 |
I am requesting information on the number of consumer credit products, in particular high-cost short term credit, specifically Payday loans, that have been bought over the past three years, up to April of this year, if possible. If it is viable, this information would ideally be formatted by financial quarter. I would also like to receive information on the number of defaults in the same time period if the above task is possible to complete in the requisite 18 working hours |
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June 2020 |
Please use this as reference - https://www.handbook.fca.org.uk/handbook/SUP/10A/4.html I would like this information for each question for each of the last five years with a year end date 31 March - I.E. April 1 2019 - March 31 2020. If this is not possible, please could the data be broken down by calendar year - I.E. January 1 2019 - December 31 2020. Please specify which year-end is used in your response. If you cannot provide data for each of the last five years, then please given me the data for each of the last three years. If this is also not possible, then please give me the data for each of the last two years. |
FOI7279 response |
June 2020 |
a) How many skilled persons reviews has the FCA commissioned of financial advisory firms in the last three years - 2017/18, 2018/19, 2019/20; b) How much did every skilled persons review cost to the firms in question - please provide breakdown of costs according to year and firm. c) What was the outcome of every skilled persons review of financial advisory firms in the timeframe outlined in point A. |
FOI7275 response |
June 2020 | How was CF30s were there in the year ending 31 December 2019? How many CF30s identified as BAME (or the preferred terminology for ethnic minority background used by the FCA) in the year ending 31 December 2019? How was CF30s were there in the year ending 31 December 2018? How many CF30s identified as BAME (or the preferred terminology for ethnic minority background used by the FCA) in the year ending 31 December 2018? How was CF30s were there in the year ending 31 December 2017? How many CF30s identified as BAME (or the preferred terminology for ethnic minority background used by the FCA) in the year ending 31 December 2017? |
FOI7280 response |
June 2020 |
Could you please confirm the total number of SMF16 holders as of 1st May 2020? Could you please confirm the number of SMF16 holder as at 10th December 2019? How many SMF16 holders have responsibilities for entities which give advice to retail clients as of 1st May 2020? How many SMF16 holders have responsibilities for entities which give advice to retail clients as of 10 December 2019? Prior to the introduction of the SM&CR how many Customer Function 30 holders were there giving advice to retail clients? Does the FCA have an estimate of the number of Compliance professionals working at regulated entities giving advice to retail clients? If the answer is yes to the previous question, please release the estimate? |
FOI7276 response |
May 2020 |
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FOI7261 response |
May 2020 |
Please provide an estimate of the number of individuals who currently come under the Senior Managers Regime. As at the date of the FCA's response to this request, how many enforcement investigations does the FCA have open into:
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FOI7231 response |
May 2020 |
Follow-up to FOI5097: I would like to request updated information regarding organisations that have applied for the permission to "operate an electronic platform for lending". Please would you tell me the number of:
I would appreciate it if this information could be tabulated into annual columns. Alternatively, please provide the date of each application and its corresponding date of withdrawal/approval/rejection. |
FOI7149 response |
May 2020 |
How many firms have gone insolvent/ceased trading/filed for bankruptcy between January and April 2020 How many firms have gone insolvent/ceased trading/filed for bankruptcy between January and April 2019 |
FOI7251 response |
May 2020 | Could you provide me with an update to Tables 1 and 2 that feature in the HCSTC underlying data in this report, with figures for Q4 2019 and Q1 2020 please. If helpful, attached is the latest update you provided for Q2 and Q3 2019 in November 2019. | |
May 2020 | The number and nature of complaints made to the FCA about business interruption loans by month since January 1, 2020. | FOI7249 response |
May 2020 |
1. How many enforcement final notices were served on "approved persons" within asset management in 2019? |
FOI7139 response |
May 2020 |
In January, February and March 2019 how many CF30's withdrew/cancelled their authorisations/permissions with the FCA? In January, February and March 2020 how many CF30's withdrew/cancelled their authorisations/permissions with the FCA? |
FOI7239 response |
May 2020 |
How many financial advice firms have gave up their FCA permissions/authorisation in January, February and March 2020. I would also like to request How many financial advice firms gave up their permissions/authorisation in January, February and March 2019. |
FOI7237 response |
April 2020 | How many businesses have permission to act as a discretionary fund manager? | FOI7220 response |
April 2020 |
Please can the Authority please provide information regarding any fines levied and the number of active or closed investigations since January 2018 concerning: Directive 2014/65/EU (MiFID II) and Regulation (EU) No 600/2014 (MiFIR) , RTS 24 Maintenance of relevant data relating to orders in financial instruments |
FOI7202 response |
April 2020 |
In relation to the below FOI response (your ref: FOI7138), I would like to know: I have been collating the number of investigations the FCA has opened into businesses over the last two years. Thank you for your help in this matter. Please see table below:
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FOI7209 response |
April 2020 |
Agreements made under ss. 71-74 of the Serious Organised Crime and Police Act 2005 (SOCPA) by the FCA. I would like to have a set of specific, discrete data, please: (i) How many 'full immunity notice' agreements were made by the FCA under s.71 SOCPA for the time period 1 April 2019 to 30 September 2019 and for the time period to 1 October 2019 to 31 March 2020? (ii) How many 'restricted-use undertaking' agreements were made by the FCA under s.72 SOCPA for the time period 1 April 2019 to 30 September 2019 and for the time period to 1 October 2019 to 31 March 2020? (iii) How many 'co-operating witness' agreements were made by the FCA under s.73 SOCPA for the time period 1 April 2019 to 30 September 2019 and for the time period to 1 October 2019 to 31 March 2020? (iv) How many 'sentence review' agreements were made by the FCA under s.74 SOCPA for the time period 1 April 2019 to 30 September 2019 and for the time period to 1 October 2019 to 31 March 2020? |
FOI7218 response |
April 2020 |
As mentioned below, you say: In this instance, we can offer to consider questions 2 - 5 for information held for a one week period only. Should you wish to refine your request, please provide us with details of the week you would like us to consider. I would like to refine the request in that case please. Please could I request the data for week commencing 22 April 2019. |
FOI7208 response |
April 2020 |
I would still like 1,2 and 4 (of original request) please. 1. How many investigations into insider trading/market abuse did the FCA open between 2015 and 2020 - please provide a monthly breakdown |
FOI7194 response |
April 2020 | Could you please provide us with the number of AIFM and MIFID firms with the authorisation to conduct the activity of 'managing investments' each reported unauthorised business to the FCA in 2019, 2018, 2017, 2016 and 2015? | FOI7070 response |
April 2020 |
The following request relates to Claims Management Companies who registered for full authorisation in Application period 1 (1 April to 31 May 2019):
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FOI7181 response |
April 2020 | Up until your 2013/14 annual report you used to publish the total number of firms that FSA regulated as at 31 March each year (data and statistics appendix in each annual report). Please can you let me know the total number of firms that FCA regulated as at 31 March for the following years: 2014/15 2015/16 2016/17 2017/18 2018/19 |
FOI7179 response |
April 2020 |
I am looking for information in relation to the number of enforcement cases against Senior Managers under the SMCR. Could you please provide the following information? (1). How many enforcement investigations did the FCA open into individuals who hold SMFs per financial year? This includes information for the following years, 16/17, 17/18, 18/19, 19/20(to present time of request) (2a). How many enforcement investigations into individuals who hold SMFs did the FCA close without action per financial year? This includes the same dates listed in (1). (2b). How many enforcement investigations into individuals who hold SMFs did the FCA close with action per financial year? This includes the same dates listed in (1). (3). How many enforcement investigations into individuals who hold SMFs did the FCA have open as of the end of each Financial year, since the Regime went live in March 2016? (4). Of the numbers disclosed in (3), could you please break down the numbers by the individual's respective SMF? (e.g. SMF1, SMF2, SMF3, SMF4, SMF5 etc.) |
FOI7145 response |
April 2020 |
In reference to a previous FOI response with the reference number FOI6915, and based on responses to Form C (Notice of ceasing to perform controlled functions (including senior management functions), Section 3 (List of controlled functions), subsection 3.01 (list all controlled functions…) and subsection 3.02 (list all senior management functions), I would like to know:
If gathering this data is not possible under the time constraints of the Freedom of Information Act, then please prioritise the information from first to last. To confirm, I would like the numbers broken down by the relevant categories (Dismissals/terminations, Suspensions, and Redundancies) for each subsections (3.01 and 3.02). I would like this information broken down by calendar year for each of the last five years – I.E. January 1 – December 31. If this is not possible, please use the most convenient year-end date. Please specify which year-end is used in your response. If you cannot provide data for each of the last five years, then please give me the data for each of the last three years. If this is also not possible, then please give me the data for each of the last two years. If it also not possible within the timeframe of the Freedom of Information Act to gather all this data, then please prioritise getting data on 3.01 (list of all controlled functions…) over 3.02 (list all senior management functions). |
FOI7178 response |
April 2020 |
In reference to a previous FOI response with the reference number FOI6755, I would like to know the following:
I would like this data broken down by quarter for the calendar year 2019 I.E. January 1 2019 – December 31 2019. |
FOI7177 response |
April 2020 |
Currently in the advice market, how many a) restricted advisers are there and b) independent advisers are there? Please could you provide comparative figures of the number of restricted advisers and independent advisers in 2018, 2015 and 2010. |
FOI7171 response |
April 2020 | In a Treasury Committee evidence session on March 4th, Andrew Bailey said the FCA was currently having to pay for its own adverts to appear on Google to counteract fraudulent and misleading financial services adverts online. Please could you detail how much has been spent on these adverts by the FCA, since the regulator began using this tactic. Please could you also provide a cost breakdown in years, since the FCA began paying for the adverts. | FOI7161 response |
April 2020 | Please can you tell us:
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FOI7160 response |
March 2020 |
I wish to apply for the below information under a Freedom Of Information request from the FCA. - How many firm acquisitions and/or purchases were denied by the FCA in 2019? |
FOI7157 response |
March 2020 |
With reference to pension transfer permissions, the total number of adviser firms that altered permissions in 2019, including cancelled changes, VVOPs and VREQs |
FOI7163 response |
March 2020 |
How many funds breached regulations on an intra-month in 2019? Also - can this be split into the types of breaches (too much in one stock, too much of a certain sector etc). |
FOI 7081 response |
March 2020 |
We were looking for the number (and names if possible) of regulated firms providing the below services: 27/02/2020 - Request clarified: The requester would like the information broken down into the portfolios currently in sued by the FCA |
FOI 7093 response |
March 2020 |
Update to FOI6618: FCA Complaints Original request (FOI6618) The FCA's Freedom of Information right to know response FOI6281 dated 27th March 2019 states: 1. In 2018, 688 complaints were received Please provide the latest year to date figures for 2019 as well as a breakdown of 2018 and 2019 figures using the categories the FCA uses to classify the complaints received about itself. |
FOI 7131 response |
March 2020 | I am interested in information pertaining to the high cost short term credit sector, specifically around payday loans. I would like to know: - How many consumers used HCSTC loans in 2019? (I know you do not collect this data explicitly, however, in early 2019 you were able to estimate this figure - https://www.fca.org.uk/data/consumer-credit-high-cost-short-term-credit-lending-data-jan-2019) - How many HCSTC loans were originated in 2019? - What was the default percentage on HCSTC loans across the sector in 2019? How does this compare with typical default rates on loans in 2019? - What proportion of HCSTC loans were repaid early in 2019? - What is the total number of loans per UK geographical area in 2019? |
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March 2020 |
I am seeking information on the number of regulated advice firms who have given up defined benefit (DB) pension transfer permissions. |
FOI7120 response |
March 2020 |
Under the Freedom of Information Act 2000 please could I request the following information: How many applications for de-authorisation has the FCA temporarily blocked whilst it completes its review in relation to the defined benefit transfer market - specifically from firms who are currently fielding supervision inquiries from the regulator? Please could you provide the figures from January 2019 to February 2020. The policy in question is the same featured here - https://www.ftadviser.com/regulation/2020/02/19/fca-blocks-adviser-de-authorisations-in-db-crackdown/ |
FOI7109 response |
March 2020 |
I am writing to request further information on the FCA's Advice Unit. Please provide the following information: |
FOI7111 response |
March 2020 |
I request the following information under the Freedom of Information Act: • The number of active investigations into spoofing; |
FOI7123 response |
March 2020 | I am seeking information on the FCA's assessing suitability review 2. Please respond to the following: - How many financial advice firms does the FCA intend to include in its sample for assessing suitability review 2? |
FOI7119 response |
March 2020 |
I am writing to make an open government request for all the information to which I am entitled under the Freedom of Information Act 2000. |
FOI7094 response |
March 2020 | I would like to receive information on how many companies you regulate that provide Debt Management Plans (DMP). How many DMP clients (DMP plans) are currently being administered by the companies you regulate. How many complaints have been received in 2019 and 2018 relating to DMP providers. |
FOI7112 response |
March 2020 | How many advice firms did the FCA contact with information requests in light of its latest Dear CEO letter dated 21st January and which found "significant harm to consumers’ financial well-being”? The requests have asked advice firms for a spreadsheet of all retirement income advice recommendations made over the last few years. | FOI7069 response |
March 2020 |
I am writing to you …… under the terms of the Freedom of Information Act 2000 to request the following information regarding the Temporary Permissions Regime (TPR) and Temporary Marketing Permissions Regime (TMPR). I would like to receive this information up to the TPR deadline of 30 January. 1. The total number of notifications received by the FCA from firms to use the TPR, broken down by: a) the firm's home state b) firm type c) passport being used 2. The total number of notifications received by the FCA from fund managers to use the TMPR, broken down by: a) the firm's home state b) firm type c) passport being used |
FOI7086 response |
March 2020 |
Under the Freedom of Information Act 2000 (FIA) I request the information as detailed below to be supplied to me within the 20 working day limit as set down by the Act. Please could you supply your response by Month and Year from January 2016 to date. Number of new applicants applying for part 4A permission as SOLE TRADER in the HOME CREDIT consumer credit sector since January 2016 (please exclude sole traders with interim permissions who transferred from the previous OFT regime pre 2015) 1A. Number of SOLE TRADERS given part 4A permission in the HOME CREDIT consumer credit sector since January 2016 (please exclude sole traders with interim permissions who transferred from the previous OFT regime pre 2015) Number of new applicants applying for part 4A permission as a LIMITED COMPANY in the HOME CREDIT consumer credit sector since January 2016 (please exclude Limited Companies with interim permissions who transferred from the previous OFT regime pre 2015) 2A. Number of LIMITED COMPANIES given part 4A permission in the HOME CREDIT consumer credit sector since January 2016 (please exclude Limited Companies with interim permissions who transferred from the previous OFT regime pre 2015) Number of new applicants applying for part 4A permission NOT CATEGORISED IN 1 OR 2 ABOVE in the HOME CREDIT consumer credit sector since January 2016 (please exclude if the organisations had interim permissions who transferred from the previous OFT regime pre 2015) 3A. Number of OTHER ORGANISATIONS NOT DETAILED IN 1. OR 2. given part 4A permission in the HOME CREDIT consumer credit sector since January 2016 (please exclude if the organisations had interim permissions who transferred from the previous OFT regime pre 2015) For clarity I wish this information to be supplied exclusively for the HOME CREDIT full permissions category. Should you need any clarification on this request please contact me at the earliest convenience. |
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March 2020 |
In April 2019 it became the FCA's responsibility to regulate the claims management sector. I would like to know: 1. How many claims management companies (CMCs) applied for temporary regulatory permissions? 2. How many CMCs have been denied full regulatory authorisation? 3. How many CMCs are now operating in the market with full regulatory authorisation? How many are still in the application process? |
FOI7067 response |
March 2020 |
Please provide the following statistic relating to withdrawn applications for the CF30 controlled function. For the years 2017, 2018 and 2019: Of the number applications to perform the CF30 controlled function, and where the applicant individual answered "yes" to any question within Section 5 ("Fitness and Propriety") of the form ("Long Form A"): What percentage of such applications were subsequently withdrawn by the applicant firm, before a final decision was made by the FCA? |
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February 2020 |
Could you please tell me how many mortgage loans were approved in the most recent year you have data available, and the year prior to that, across the following borrower income multiples? 3 x borrower's income 4 x income 4.5 x income 5 x income 5.5 x income and above Or, if you record the data using different income brackets, please send me this data. |
FOI7038 response |
February 2020 |
I am writing to you under the Freedom of Information Act 2000 to request the following information from the Financial Conduct Authority: 1. How many firms reported to you under COREP in 2019? 2. Of those firms, please provide a breakdown by firm type. 3. In respect of those COREP returns submitted in 2019, how many COREP reporting errors were identified in 2019? 4. In respect of those COREP returns submitted in 2019, how many COREP reports were resubmitted by firms in 2019? 5. What proportion of those errors related to credit risk, market risk, operational risk, own funds and capital adequacy ratios? If it is not possible to provide the information requested due to the information exceeding the cost of compliance limits identified in Section 12, please provide advice and assistance, under your Section 16 obligations, as to how I can refine my request to be included in the scope of the Act. In any case, if you can identify ways that my request could be refined, please provide further advice and assistance to indicate this. I look forward to your response within 20 working days, as stipulated by the Act. If you have any queries, please don’t hesitate to contact me via email or phone and I will be happy to clarify my request. |
FOI7024 response |
February 2020 |
I would like to receive some information regarding the questions below. This is for an article for our B2B publication, Bridging and Commercial. 1) “How many firms currently have permission to advise on regulated mortgage contracts in the UK? 2) How many approved persons are attached to those firms? 3) How many appointed representatives are there currently in the UK?” |
FOI7021 response |
February 2020 |
I am seeking further information regarding the FCA’s supervision work of the defined benefit transfers market. The FCA sent out a letter requesting information from around 1,700 firms in October 2019. In that letter the FCA says it has been collecting and reviewing the information firms have given it about the volume of transfers, conversion rate, insistent clients, income from DB business, unauthorised introducers, transfers per pension transfer specialist and expensive solutions. Could the FCA tell me based on this sample of 1,700 firms written to: 1) What proportion of advice firms, and what proportion of individual transfers, recommended a transfer that was more expensive than a stakeholder pension? 2) What percentage of transfers in the sample were insistent clients? 3) What percentage of transfers came through unauthorised introducers? 4) What is the total income these 1,700 advisers have made from DB transfers since April 2015? |
FOI7013 response |
February 2020 |
According to the Financial Times, The Financial Conduct Authority received 1,335 notifications of inaccurate transaction reporting under the Markets in Financial Instruments Directive (Mifid II) in 2018. The article in question refers to a freedom of information request made by the firm Bovill. Can you please confirm: How many notifications of inaccurate transaction reporting under MifiD II did you receive in 2019? Can you please confirm how many different firms you received these MifiD II inaccurate transaction reports from in 2019? As at the date of your response to this request, how many AIFM firms have been sanctioned and/or fined over inaccurate transaction reporting? Can you please confirm how many AIFM firms you received these inaccurate transaction reports from? Furthermore, if possible, can you please provide: The number of UK investment firms (that need to be MiFID II compliant) in the UK in 2019? The total number of transaction reports you received in 2019? |
FOI7017 response |
February 2020 |
I wish to apply for information under the Freedom of Information Act 2000 on the below from the FCA. As mentioned in the FCA Podcast dated 7/01/2020 - '. So where firms do not have adequate PI coverage, we’re taking action to stop them from offering advice that isn’t covered.' FOI Request - How many firms have the FCA stopped from offering advice that isn't covered due to a lack of/inadequate professional indemnity (PI) cover in 2019? |
FOI6997 response |
February 2020 |
1. How many security/privacy incidents has the FCA investigated over the last year (November 30th, 2018 – November 30th, 2019)? a. How many of these involved data breaches? b. How many of these resulted in fines? c. How many resulted in financial penalties, how many in other action, how many under investigation and how many had no action? 2. How many times has the FCA fined an organisation for incidents that have involved an employee working for an organisation intentionally or unintentionally causing a cyber breach or security/privacy incident? a. If possible, of these incidents, please split them between intentional vs unintentional incidents b. Of these investigations, how many resulted in fines / other sanctions? |
FOI6985 response |
January 2020 |
I would like to know, how many active investigations the FCA has into its own conduct, for instance cases where companies have gone but the FCA has launched an internal investigation into whether the FCA itself was responsible in some way. So long as it does not cause this request to exceed the time limit for FOIs, could you provide information about how many cases have been opened in the last 12 months, and on how many occasions failures have been found within the FCA. |
FOI6847 response |
January 2020 |
I would like to request the following information. How many retirement interest-only (Rio) mortgages were taken out in the following time periods: 1) July 1 2018 to December 31 2018 2) January 1 2019 to June 30 2019 3) July 1 2019 to December 31 2019 |
FOI6994 response |
January 2020 |
I am seeking further information on the unit-linked funds’ governance review (follow-up to PS18/8). Please provide the following information: 1. How many firms offering unit-linked insurance products have you contacted to review their documents within your unit-linked funds’ governance review (follow up to PS18/8)? 2. How many firms offering unit-linked insurance products have you visited to conduct interviews within the review? 3. Could you please send me the communication you sent to selected firms requesting documents within the review? |
FOI6986 response |
January 2020 |
Under the Freedom of Information Act and with reference to a previous FOI to the FCA (FOI6185), I would like to know the following: • How many notifications of ‘data breaches’ (described in your previous FOI response ref. FOI6185 as ‘a confirmed incident in which the confidentiality of company or personal data is breached’) were reported by financial services companies to the FCA I would like the data broken down by the type of financial sector – please use whatever categories the FCA uses. I would also like the figures broken down by month for the 2019 calendar year. |
FOI6999 response |
January 2020 |
In the Enforcement Performance Report 2018/2019, the vast majority of outcomes relate to variation/cancellation/refusal of authorisation/approval/permissions. Is there a common theme to some, most or all of these cases? If so, what is it? |
FOI6962 response |
January 2020 |
We’re looking at FCA clone / scam firm warnings as there appears to have been a rise this year. Can you give me total figures for this year please compared to previous years. A monthly breakdown over the last 3 years would also be helpful and along with a breakdown of clone v scam warnings and details on which is the fastest rising scam area. We would like to know: 1. How many clone / scam firm warnings has the FCA issued this year (2019) so far? 2. What were the equivalent figures for 2018, 2017, 2016, 2015, 2014? 3. Can you provide details on whether the numbers are rising or falling and what efforts the FCA carries out to deal with the issue? 4. How many FCA staff are dealing with complaints about scams / clones. Is this number up on 2018 and if so by how many? 5. What is the annual cost to the FCA of dealing with clone / scam firms? 6. What is the total spending this year on dealing with scams compared to last year? |
FOI6948 response |
January 2020 |
I request a monthly count of newly authorised claims management companies, per month, from 2011 to present, please. I also request a count of authorised CMCs, per month, from 2011 to present, if possible. |
FOI6950 response |
January 2020 |
I would like to know the number of cases the FCA has, and is currently, investigating, regarding businesses illegally 'accepting deposits,' breaching the Financial Services and Markets Act 2000. For clarity, I mean cases where deposits are taken, held to earn interest and lent to others, without permission to do so, outside the scope of a businesses' permission. In the same set of data I would like to know how many of these businesses are no longer operating, are insolvent or in administration. If it can be provided within the cost limits of the act I would also ask that if these cases include figures for customer claims against company records, I believe they're usually recorded as non-preferential creditors in administrator's reports, that they be provided. Please provide this as an annual figure, with breakdowns for each case. Because of the amount of material I am asking for I suggest limiting my request from 2018-2019, up to the most recent set of data available. |
FOI6823 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? |
FOI6944 response |
January 2020 |
Please kindly provide us with your answers to the below questions: • How many individuals who hold (or held, during the relevant period under investigation) Controlled Function 10 or 11, or Senior Management Function 16 or 17, are presently subject to investigation? • Is the FCA engaged in any work on legalised cannabis and/or cannabis products, including but not limited to policy work; engaging with the propriety of investing in such products in a supervisory context and / or engaging with or scrutinising the propriety of the same in an enforcement context and / or listings context? |
FOI6935 response |
January 2020 |
Under the Freedom of Information Act, and in reference to a previous response with the reference number FOI6741, I would like to know the following. • Please could you provide an estimate of the number of individuals who will come under the scope of the Senior Managers’ Regime upon its full extension on December 9 2019? If it looks as if the work involved in responding to this Freedom of Information Request is going to exceed the time permitted to respond under the Freedom of Information Act, then please contact me as soon as possible to discuss how I can reduce the scope of this request. |
FOI6879 response |
January 2020 |
I request the following information under the Freedom of Information Act: - The number of open FCA cases; - The number of active investigations into individuals; and - The number of active investigations into companies. If there is a further breakdown of statistics into whether the individuals are senior managers or not that would be great. |
FOI6934 response |