Reference Case Number: FOI7139
Freedom of Information: Right to know request:
1. How many enforcement final notices were served on "approved persons" within asset management in 2019?
a. What was the value of fines issued on these?
2. How many enforcement final notices were served on "approved persons" within asset management in 2018?
a. What was the value of fines issued on these?
3. How many investigations of Senior Managers within asset management has the FCA opened since 9 December 2019?
4. How many investigations of Certification staff within asset management has the FCA opened since 9 December 2019?
FCA response:
Refer to supporting document below.