Information on FCA home visits 2020- July 2022

FOI Release Date of Release:

Reference Case Number: FOI9374

Freedom of Information: Right to know request:

The FCA said last October in guidance that FCA visits could take place at the homes of staff - 

  1. How many home visits has the FCA conducted since this guidance was published in October to investigate possible breaches of regulations pertaining to compliant communications?
  2. How many home visits has the FCA conducted since 1 March 2020 to investigate possible breaches of regulations pertaining to compliant communications?
  3. How many firm office visits has the FCA conducted since March 1 2020 to investigate possible breaches of regulations pertaining to compliant communications?

FCA response:

For question 1, we can confirm that no formal enforcement investigation home visits were conducted by the FCA since the guidance was published in October 2021.

For question 2, we can confirm that there were three formal enforcement investigation home visits conducted by the FCA during the relevant timeframe.

Finally, for question 3, we can confirm that there was one formal enforcement investigation firm office visit conducted by the FCA.