Reference Case Number: FOI8986
Freedom of Information: Right to know request:
- What is the number of investigations into AML failings the FCA launched in 2021, and can these be broken down by the industry the firm operates in, e.g. banking, asset management, payment service provision, cryptoasset firms etc.
- With regard to your enforcement of Sapien Capital Limited for serious financial crime control failings in relation to cum/ex trading, we ask in what year was the investigation started into the firm?
- How many investigations were started that year, what were the outcomes and how many are still ongoing?
- With regard to your enforcement of Sunrise Brokers LLP for serious financial crime control failings in relation to cum-ex trading, we ask in what year was the investigation started into the firm?
- How many investigations were started that year, what were the outcomes and how many are still ongoing?
- With regard to your enforcement of NatWest Group plc (formerly The Royal Bank of Scotland Group plc) for anti-money laundering failures, we ask in what year was the investigation started into the firm?
- How many investigations were started that year, what were the outcomes and how many are still ongoing?
- With regard to your enforcement of HSBC for deficient transaction monitoring controls, we ask in what year was the investigation started into the firm?
- How many investigations were started that year, what were the outcomes and how many are still ongoing?