Information on the number of investigations carried out by the FCA - August 2020

FOI Release Date of Release:

Reference Case Number: FOI7383

Freedom of Information: Right to know request:

I request the following information under the Freedom of Information Act:

  • The number of active sanctions-related* investigations? 
  • The number of these investigations opened in 2020 
  • The number of these investigations opened in 2019
  • The number of active investigations overall (split into criminal, regulatory and dual track if time permits). 

*I understand that the FCA investigates whether regulated entities have sufficient internal sanctions controls rather than breaches of sanctions, which lays with OFSI and the NCA. 

Refer to supporting documents below

Supporting document

FOI7383 response