Competition enforcement powers information - 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.

Refer to the supporting document below.