Reference Case Number: FOI9691
Freedom of Information: Right to know request:
Statistics on criminal investigations:
1. Please provide the total number of criminal investigations opened in each of 2017, 2018, 2019 and 2020, 2021 into alleged breaches of the Money Laundering Regulations 2007 (MLR 2007) by a) individuals and b) firms.
2. Please provide the total number of criminal investigations opened in each of 2017, 2018, 2019, 2020 and 2021 into alleged breaches of the Money Laundering Regulations 2017 (MLR 2017) by a) individuals and b) firms.
3. Please provide the total number of currently open criminal investigations into alleged breaches of the MLR 2007 by a) individuals and b) firms.
4. Please provide the total number of currently open criminal investigations into alleged breaches of the MLR 2017 by a) individuals and b) firms.
5. Please provide the total number of currently open criminal investigations into alleged breaches by firms of the MLR 2007 by regulation under investigation.
6. Please provide the total number of currently open criminal investigations into alleged breaches by firms of the MLR 2017 by regulation under investigation. Statistics on civil investigations
7. Please provide the total number of civil investigations opened in each of 2017, 2018, 2019, 2020 and 2021 into alleged breaches of the Money Laundering Regulations 2007 (MLR 2007) by a) individuals and b) firms.
8. Please provide the total number of civil investigations opened in each of 2017, 2018, 2019, 2020 and 2021 into alleged breaches of the Money Laundering Regulations 2017 (MLR 2017) by a) individuals and b) firms.
9. Please provide the total number of currently open civil investigations into alleged breaches of the MLR 2007 by a) individuals and b) firms.
10. Please provide the total number of currently open civil investigations into alleged breaches of the MLR 2017 by a) individuals and b) firms.
11. Please provide the total number of currently open civil investigations into alleged breaches by firms of the MLR 2007 by regulation under investigation.
12. Please provide the total number of currently open civil investigations into alleged breaches by firms of the MLR 2017 by regulation under investigation. Statistics on dual track investigations
13. Please provide the total number of currently open "dual track" criminal and civil investigations into alleged breaches of the MLR 2007 by a) individuals and b) firms.
14. Please provide the total number of currently open "dual track" criminal and civil investigations into alleged breaches of the MLR 2017 by a) individuals and b) firms. COVID:15. Please provide the number of enforcement investigations opened where the reasons given in the memorandum of appointment referenced the COVID-19 pandemic. If so and if possible, please provide the category of investigation as per the data within the Annual Enforcement Performance Report, e.g. Retail, Wholesale etc.
15. Please provide the total number of individual convictions obtained by the FCA under the a) Money Laundering Regulations 2007 and b) Money Laundering Regulations 2017.
FCA response:
We have processed your request in line with the provisions of the Freedom of Information Act 2000 (FOIA) and our response is set out in Annex B below.
Please be aware that we do not record data in the way you have requested, and the table provided below sets out the key data in the simplest way possible.
Annex B
The table below shows the total number of cases currently open as well as cases opened each year relating to criminal MLR investigations, civil MLR investigations, dual track (both criminal and civil) MLR investigations, and those investigations open under the Financial Services and Markets Act 2000 (FSMA) which include potential money laundering systems and controls breaches as part of the investigation scope. This data covers both firms and individuals.
|
Subject |
Year |
Breach |
Total |
Firms |
Individuals |
|---|---|---|---|---|---|
|
Total Criminal investigations opened |
2019 |
Both MLR 2007 & 2017 |
5 |
1 |
4 |
|
2020 |
Both MLR 2007 & 2017 |
2 |
1 |
1 |
|
|
|
|
||||
|
Total Criminal investigations currently open |
Currently open |
MLR 2017 |
2 |
0 |
2 |
|
Both MLR 2007 & 2017 |
1 |
1 |
0 |
||
|
|
|
||||
|
Civil investigations opened by year (civil MLR breaches only) |
2019 |
MLR 2007 |
1 |
1 |
0 |
|
|
|
||||
|
Regulatory money laundering investigations opened by year (FSMA - PRIN/SYSC breaches) |
2018 |
FSMA - PRIN/SYSC/non-MLR breaches only |
1 |
0 |
1 |
|
2020 |
FSMA - PRIN/SYSC/non-MLR breaches only |
3 |
1 |
2 |
|
|
|
|
||||
|
Total Regulatory money laundering investigations currently open (FSMA, PRIN/SYSC breaches) |
Currently open |
FSMA - PRIN/SYSC/non-MLR breaches only |
3 |
1 |
2 |
|
|
|
||||
|
Total "dual track" (criminal and civil MLR) investigations currently open |
Currently open |
MLR 2007 |
2 |
2 |
0 |
|
MLR 2017 |
1 |
1 |
0 |
||
|
Both MLR 2007 & 2017 |
2 |
1 |
1 |
||
|
|
|
||||
|
Regulatory money laundering investigations opened by year (FSMA - PRIN/SYSC breaches) |
2017 |
FSMA - PRIN/SYSC |
7 |
1 |
6 |
|
2018 |
FSMA - PRIN/SYSC |
4 |
0 |
4 |
|
|
2019 |
FSMA - PRIN/SYSC |
12 |
9 |
3 |
|
|
2020 |
FSMA - PRIN/SYSC |
0 |
0 |
0 |
|
|
2021 |
FSMA - PRIN/SYSC |
2 |
1 |
1 |
|
|
|
|
||||
|
Total Regulatory money laundering investigations currently open (FSMA - PRIN/SYSC breaches) |
Currently open |
FSMA - PRIN/SYSC |
22 |
14 |
8 |
|
|
|
||||
|
Investigations opened which are both Regulatory and Civil (both FSMA and MLR breaches) by year |
2017 |
Both FSMA (PRIN/SYSC) and MLR breaches |
3 |
0 |
3 |
|
2018 |
Both FSMA (PRIN/SYSC) and MLR breaches |
1 |
0 |
1 |
|
|
2019 |
Both FSMA (PRIN/SYSC) and MLR breaches |
8 |
8 |
0 |
|
|
|
|
||||
|
Total investigations which are both Regulatory and Civil currently open (both FSMA and MLR breaches) |
Currently open |
Both FSMA (PRIN/SYSC) and MLR breaches |
5 |
5 |
0 |