Information on the number of individuals who currently come under the Senior Managers Regime - May 2020

Please provide an estimate of the number of individuals who currently come under the Senior Managers Regime.

As at the date of the FCA's response to this request, how many enforcement investigations does the FCA have open into:

1. Individuals who hold Senior Management Functions. Please also provide a breakdown of this number to show which Senior Management Functions are held by individuals under investigation. Please also provide a general description of the nature of these investigations (e.g. lack of fitness/propriety or culture/governance).
2. How many investigations commenced against individuals who hold Senior Management Functions have been discontinued in the past 12 months.
3. Individuals who fall within the Certification Regime. Please provide a general description of the nature of these investigations.
4. Individuals for breaches of the COCON rules who are not senior managers or covered by the certification regime.
5. Individuals who fall within the approved persons regime