Investigations into misconduct information - October 2020


Reference Case Number: FOI7666

Freedom of Information: Right to know request:

  1. How many investigations into misconduct (or similar) is the FCA currently conducting?
  2. How many of these are advice firms?
  3. How many investigations has the FCA undertaken in 2020? (and how many were advice firms)
  4. How many investigations did the FCA undertake in 2019? (and how many are advice firms)
  5. What were the main reasons for these investigations?

FCA response:

Refer to the supporting document below.

Supporting document

FOI7666 response[1]

Date of Release:

More information

Freedom of information[2]

Source URL: https://www.fca.org.uk/freedom-information/investigations-misconduct-information-october-2020

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