Information on enforcement investigations opened and closed by the FCA - August 2020

FOI Release Date of Release:

Reference Case Number: FOI7469

Freedom of Information: Right to know request:

  1. Under the Freedom of Information Act, and with reference to previous FOI number FOI6181, I would like to know:
  2. The number of new enforcement investigations opened by the FCA
  3. 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. 

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.

Refer to supporting documents below

Supporting document

FOI7469 response