Reference Case Number: FOI2025/00501
Freedom of Information: Right to know request:
- Please confirm the total number of open cases as at 31 July 2025 into firms and individuals.
In relation to (1) please provide
a) The breakdown between cases into Regulated and Unregulated firms
b) A breakdown by reference to the primary issue under investigation in respect of the following categories (which the FCA has used in previous reporting cycles):
i) unauthorised business
ii) misleading statements
iii) listing/prospectus rules / disclosure transparency rules breaches
iv) market manipulation
v) insider dealing
vi)wholesale conduct
vii) financial crime
viii) retail lending
ix) investment scam
x) pension scam
xi) advice – pensions
xii) retail conduct
In order to update the information provided in response to our previous information request, please confirm:
a) How many enforcement cases have been opened from 1 November 2024 to 31 July 2025? Please provide a breakdown between regulated, unregulated firms and individuals.
i) For cases opened into individuals, please also identify whether the individual is an SMF (and identify the senior management function(s) the individual was approved to perform); a certified staff member or a conduct rule staff member.
b)How many enforcement cases have been closed from 1 November 2024 to 31 July 2025?
c)The average case duration for enforcement cases closed between 1 November 2024 to 31 July 2025. FCA Enforcement Data 2024/25
- In the FCA's recent enforcement data it stated that "as at 31 March 2025, we had 130 open enforcement operations, down from 188 in 2023/24." Please confirm the total number of cases the 130 open operations relate to.
- For this number, please provide a breakdown of the number of investigations into regulated firms, unregulated firms and individuals.
Please also provide a breakdown of the number by reference to the primary issue under investigation in respect of the following categories:
i) unauthorised business
ii) misleading statements
iii) listing/prospectus rules / disclosure transparency rules breaches
iv) market manipulation
v) insider dealing
vi) wholesale conduct
vii) financial crime
viii) retail lending
ix) investment scam
x) pension scam
xi) advice – pensions
xii) retail conduct