Information on open investigations related to the asset management sector - April 2021

FOI Release Date of Release:

Reference Case Number: FOI8149

Freedom of Information: Right to know request:

Could you please confirm the following as at the 14 March 2021:

  1. The number of open investigations which relate to the asset management sector. Please confirm the split between firms and individuals.
  2. The number of open investigations into senior managers. Please confirm the split between different senior management functions.
  3. The total number of open investigations. Please confirm the split between firms and individuals.

FCA response:

Refer to supporting documents below

Supporting document

FOI8149 response