Information on fines and active or closed investigations since January 2018 - April 2020


Reference Case Number: FOI7202

Freedom of Information: Right to know request:

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.

FCA response:

Please refer to supporting document

Supporting document

FOI7202 response