Reference Case Number: FOI9809
Freedom of Information: Right to know request:
Request 1
Please provide figures for the number of enforcement cases opened under the SM&CR into Non-Financial Misconduct against individuals at General Insurance and Protection insurers. Please provide this information broken down by the number of enforcement cases in the following years: 2018/19, 2019/20 and 2021/22.
Request 2
Please provide figures for the number of skilled persons reports commissioned under Section 166 of the Financial Services and Markets Act 2000 ("Reports") into General Insurance and Protection insurers. Please provide this information broken down by the number of reports commissioned in the following years: 2018/19, 2019/20, and 2021/22.
Request 3
(1) How many whistleblower reports were made in relation to General Insurance and Protection insurers? Please provide this information broken down by the number of whistleblower reports reported by General Insurance and Protection insurers to the FCA in the following years: 2018/19, 2019/20 and 2021/22.
(2) Please disclose where whistleblowing reports described above resulted in the FCA taking (i) significant action to mitigate harm and (ii) action to mitigate harm.
Note, we are aware that certain of this information has been provided previously, but we should be grateful for an updated set of figures.
Request 4
Please breakdown the number of enforcement investigations taken against Banks, Asset Managers/Funds, financial advisers, brokers and General Insurance and Protection insurers by the FCA in the following years: 2018/19, 2019/2020 and 2021/22.
Note, we are aware that certain of this information has been provided previously, but we should be grateful for an updated set of figures
Request 5
Kindly note that the below FOI contains two parts.
(1) Please provide the sum of financial penalties that were imposed on General Insurance and Protection insurers. Please provides this information broken down by the sum of penalties imposed on General Insurance and Protection insurers in the following years: 2018/19, 2019/2020 and 2021/22.
(2) Please also provide the sum of financial penalties imposed on individuals at General Insurance and Protection insurers. Please also break down these sums over 2018/19, 2019/2020 and 2021/22.
Request 6
(1) How many open enforcement investigations does the FCA currently relating to General Insurance and Protection insurers and individuals employed at General Insurance and Protection insurers?
(2) How many of the open enforcement investigations referred to in above are into individuals employed at General Insurance and Protection insurers; and how many are into General Insurance and Protection insurers as entities?
(3) Please provide the average length of enforcement investigations (i.e. the date from which they are opened to the date at which they case closed) into General Insurance and Protection insurers in the following years: 2018/19, 2019/2020 and 2021/22.
Request 7
How many breaches of Conduct Rules by Senior Managers have been reported to the FCA using the FCA's Form D and Form C by General Insurance and Protection insurers? Please provide this information broken down by the number of breaches of the Conduct Rules that were reported by General Insurance and Protection insurers to the FCA in the following years: 2018/19, 2019/2020 and 2021/22. Please also breakdown the information between Form D and Form C submissions.
Request 8
Please provide figures for how many investigations have been opened under the SM&CR where one or more individuals investigated is a Senior Manager at General Insurance and Protection insurers since the regime came into effect (e.g. since 10 December 2018). Please provide this information broken down by the number of investigations in the following years: 2018/19, 2019/2020 and 2021/22, and please also provide the information broken down between General Insurance and Protection insurers.
Note, we are aware that certain of this information has been provided previously, but we should be grateful for an updated set of figures.