Reference Case Number: FOI2025/00770
Freedom of Information: Right to know request:
1. The number of active FCA enforcement investigations into individuals.
2. How many of those active investigations are into Senior Managers as defined in the Senior Managers & Certification Regime.
3. The number of investigations that relate to Senior Managers that have been opened since 1 January 2025.
4. The number of investigations that relate to Senior Managers that have been closed since 1 January 2025.
5. Of the number of investigations that relate to Senior Managers that have been closed since 1 January 2025, the number that resulted in:
a) Financial Penalty/Public Censure
b) Prohibition
c) Undertaking
d) No formal enforcement action
6. A breakdown, by number, of the active investigations that relate to Senior Managers according to their primary recorded issues.
7. Please could you also indicate:
a) How many investigations the FCA opened into non-financial misconduct 2026. Please provide a breakdown as follows:
b) How many of those investigations focus on individuals classed as Senior Managers
c) How many active investigations the FCA currently has into non-financial misconduct by:
i Individuals classed as Senior Managers
ii Certified Persons, and
iii Other staff subject to the FCA's code of conduct
d) How many investigations into non-financial misconduct the FCA has discontinued with no enforcement action being taken since 1 January 2025
8. The number of individuals who are classified by their firms as Certified Persons (or were at the time of any alleged misconduct) and are being investigated for breaches of the COCON rules?
9.The number of individuals who are not Senior Managers or Certified Persons but are subject to COCON (or where at the time of any alleged misconduct) and are being investigated for breaches of the COCON rules?