Information on convictions obtained against individuals- January 2023

Reference Case Number: FOI9846

Freedom of Information: Right to know request:

Broken down into the last five years I would like information on:

The number of convictions against individuals working at non-regulated firms broken down by year.
The number of convictions against individuals carrying out non-authorised business.

We have obtained 9 convictions against individuals working at ‘non-regulated’ firms; broken down by year as follows:

Additionally, in 2019, the FCA secured a conviction against an individual who was not working for any firm (regulated or ‘non-regulated’).

We have obtained 6 convictions against individuals carrying out non-authorised business; broken down by year as follows: