FCA enforcement investigations 2021 and 2022 - February 2022

FOI Release Date of Release:

Reference Case Number: FOI8992

Freedom of Information: Right to know request:

Please can you provide the following information on FCA enforcement investigations:

  1. Please confirm the total number of open FCA enforcement investigations.
  2. Please confirm the number of "new" enforcement investigations that were opened during 2021 and 2022 (to date).
  3. In the enforcement section of the FCA's Annual Report for 2020/21 at Table 6, the FCA provided information about the types of investigations that it has opened and closed during this period. Please can you update and provide the information in the final column of this table, "Open at 31 March 2021" (and only this column) so that this information is provided as at (or closer to) the date of the FCA's response to this FOIA request?
  4. Please confirm the number of open FCA enforcement investigations referred to in 1. above that are: (i) into individuals, or (ii) into firms.
  5. Please confirm the number of open FCA enforcement investigations referred to in 1. above that are: (i) into asset managers / funds; (ii) into banks; (iii) into financial advisers; (iv) into brokers; or (v) into insurers.

FCA response: