Information on whistleblower reports - January 2023

FOI Release Date of Release:

Reference Case Number: FOI9761

Freedom of Information: Right to know request:

Please provide:

1.  The number of whistleblower reports the FCA receives each year. 

2.  A breakdown of these reports each year using whichever categories the FCA uses internally.

I would like this data for each of the last five years with the year-end of 31 October 2022 or whichever year-end is most convenient.  If you are unable to provide five years of data, please provide three years of data.  If this is not possible, please provide data for the most two recent years.

FCA response:

Please find the requested information in the attached document (Annex A). Please note that we introduced a new case management system in 2017, which allowed us to record multiple allegations for each individual case. Prior to this, our systems recorded only one allegation per case.

Also, please note that there may be some variance in the number of reported allegations because as cases develop, in some instances more allegations are recorded, and because we have amended the way in which we collect and process allegation data.
Please note that as a Prescribed Person under the Public Interest Disclosure Act 1998, the FCA has been required since 2017 to report annually on the whistleblowing disclosures it receives every year and on the action that has been taken to address them. The FCA publishes this information in its Annual Report and Accounts (which covers the period April-March of any given year). Reports for the last five years can be found here:

Additionally, since November 2021, we have provided additional data in relation to our whistleblowing function on the relevant pages of the FCA website. This includes quarterly data on reports received - please see the following webpages:

Supporting document

FOI9761 Annex A

More information

Freedom of Information