Statistics on the FCA's investigations into criminal and civil breaches - December 2020

FOI Release Date of Release:

Reference Case Number: FOI7640

Freedom of Information: Right to know request:

With reference to the information previously disclosed by the FCA in response to FOI6825 and FOI6832 I would like to request up to date information on the statistics below. 

Statistics on criminal investigations

  • Please provide the total number of criminal investigations opened in each of 2017, 2018, 2019 and 2020 into alleged breaches of the Money Laundering Regulations 2007 (MLR 2007) by a) individuals and b) firms. 
  • Please provide the total number of criminal investigations opened in each of 2017, 2018, 2019 and 2020 into alleged breaches of the Money Laundering Regulations 2017 (MLR 2017) by a) individuals and b) firms. 
  • Please provide the total number of currently-open criminal investigations into alleged breaches of the MLR 2007 by a) individuals and b) firms.
  • Please provide the total number of currently-open criminal investigations into alleged breaches of the MLR 2017 by a) individuals and b) firms.
  • Please provide the total number of currently-open criminal investigations into alleged breaches by firms of the MLR 2007 by regulation under investigation. 
  • 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

  • Please provide the total number of civil investigations opened in each of 2017, 2018, 2019 and 2020 into alleged breaches of the Money Laundering Regulations 2007 (MLR 2007) by a) individuals and b) firms. 
  • Please provide the total number of civil investigations opened in each of 2017, 2018, 2019 and 2020 into alleged breaches of the Money Laundering Regulations 2017 (MLR 2017) by a) individuals and b) firms. 
  • Please provide the total number of currently-open civil investigations into alleged breaches of the MLR 2007 by a) individuals and b) firms.
  • Please provide the total number of currently-open civil investigations into alleged breaches of the MLR 2017 by a) individuals and b) firms.
  • Please provide the total number of currently-open civil investigations into alleged breaches by firms of the MLR 2007 by regulation under investigation. 
  • 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 

  • 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.
  • 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: 

  • 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 eg Retail, Wholesale etc. 

FCA response:

Refer to supporting document below.

Supporting document

FOI7640 response