Reference Case Number: FOI7420
Freedom of Information: Right to know request:
Under the FOI Act I would like to know:
• How many enforcement cases/investigations targeting individuals were opened by the FCA over the last two years? I would like this information broken down by type and by month, with the year-end June 23rd 2020.
• How many enforcement cases/investigations targeting firms have been opened by the FCA over the last two years? I would like this information broken down by type and by month, with the year-end June 23rd 2020.
• How many section 178 change of control notices has the FCA received over the last two years? I would also like this information broken down by month, with the year-end June 23rd 2020.
• How many section 178 change of control notices has the FCA approved over the last two years? I would also like this information broken down by month, with the year-end June 23rd 2020.
• How many section 178 change of control notices have been withdrawn by the firm after submission to the FCA but before any determination was made over the last two years? I would also like this information broken down by month, with the year-end June 23rd 2020.
FCA response:
Please refer to supporting documents for response