Information on convictions obtained against individuals- January 2023

Reference Case Number: FOI9846

Freedom of Information: Right to know request:

Broken down into the last five years I would like information on:

The number of convictions against individuals working at non-regulated firms broken down by year.
The number of convictions against individuals carrying out non-authorised business.

FCA response:

Question 1

We have obtained 9 convictions against individuals working at ‘non-regulated’ firms; broken down by year as follows:

Year	Number of convictions
2022	1
2021	5
2020	0
2019	1
2018	2

Additionally, in 2019, the FCA secured a conviction against an individual who was not working for any firm (regulated or ‘non-regulated’).

Question 2

We have obtained 6 convictions against individuals carrying out non-authorised business; broken down by year as follows:

Year	Number of convictions
2022	1
2021	2
2020	0
2019	1
2018	2

Date of Release: 18/01/2023

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View all FCA published data[2]

Source URL: https://landmark-phase.live/freedom-information/information-convictions-obtained-against-individuals-january-2023%3C/i%3E

Links

[1] https://landmark-phase.live/freedom-information/information-convictions-obtained-against-individuals-january-2023%3C/li%3E
[2] https://landmark-phase.live/freedom-information%3C/li%3E
[3] https://landmark-phase.live/data%3C/li%3E