FCA OIREQ/ OIVOP and Enforcement investigations data - May 2021

FOI Release Date of Release:

Reference Case Number: FOI8199

Freedom of Information: Right to know request:

  • The number of cases where the FCA have imposed an Own ' initiative powers requirement or variation of permissions (OIREQ or OIVOP) from October 2018 to March 2021; and how many of those OIREQ or OIVOP resulted in Enforcement investigations.
  • Please may I have the figures of new insider dealing or market abuse offence cases opened by FCA Enforcement per month from June 2020 to March 2021.
  • Please can you identify the number of ongoing FCA Enforcement investigation cases and in how many has there been some impact on accessing certain documents and witnesses during the pandemic (from 31 January 2020 to date)

FCA response:

Refer to supporting documents below

Supporting document

FOI8199 response