Information on non-financial misconduct (asset managers) - November 2024

Please see Table 1 below for details of non-financial misconduct reports received by Asset Management Supervision. The data includes reports submitted to us via REP008 as well as our supervisory cases. As the REP008 is an annual return which covers the period 1 Sept to 31 August, we have aligned all the cases to this timeline (with the exception of Sept 23-Oct 24, which is 14 months) as you have asked for a year-to-date period. 

Table 1

We currently have one open enforcement investigation. For further details, please see the following letter to the Treasury Select Committee dated 3 July 2023 and a Warning Notice Statement published on 1 November 2024.