Reference Case Number: FOI7699
Freedom of Information: Right to know request:
- a) how many enforcement investigations were opened against individuals, under the Senior Managers & Certification Regime (or, where relevant, the Senior Insurance Managers Regime) ("Investigations Opened"), in each of (i) 2016; (ii) 2017; (iii) 2018; (iv) 2019; and (v) between 1 January and 30 September 2020;
- b) how many of the Investigations Opened in each of (i) 2016; (ii) 2017; (iii) 2018; (iv) 2019; and (v) the first 9 months of 2020, has ended with some form of regulatory action beging taken against 1 or more individuals;
- c) how many of the Investigations Opened in each of (i) 2016; (ii) 2017; (iii) 2018; (iv) 2019; and (v) the first 9 months of 2020, concerned individuals who were approved as an SMF1, SMF3, SMF4, SMF16, and/or SMF17;
- d) how many of the Investigations Opened in each of (i) 2016; (ii) 2017; (iii) 2018; (iv) 2019; and (v) the first 9 months of 2020, has ended with some form of regulatory action being taken against an individual approved as an SMF1, SMF3, SMF4, SMF16 and/or SMF17;
- e) in each of the 12 month periods beginning 28 September 2017; 28 September 2018; and 28 September 2019, how many of the Investigations Opened concerned "non-financial" misconduct of the kind referred to by Megan Butler in her letter to the Women and Equalities Committee of the House of Commons dated 28 September 2018 (for example, sexual harassment, sexual discrimination or other forms of sexual misconduct);
- f) how many of the Investigations Opened in each of the periods referred to in (e), has ended with some form of regulatory action being taken against an individual for non-financial misconduct.
FCA response:
Refer to supporting document below.