Reference Case Number: FOI9186
Freedom of Information: Right to know request:
Allegations received via your Whistleblowing Team:
The number of non-financial misconduct allegations received by the FCA, and the number of non-financial misconduct allegations broken down by different types of non-financial misconduct (any categories you use internally).
The number of financial misconduct allegations received by the FCA, and the number of financial misconduct allegations broken down by different types of financial misconduct (any categories you use internally).
I would like this data as a total for each of the last five years, with March 31 as year-end. If this is not possible then please use the year-end used internally by the organisation.
If you are unable to provide five years of data, please provide four years of data, if you are unable to provide four years of data, please provide three years of data, otherwise please provide data for the last two years.’
FCA response:
The Whistleblowing team do not record allegations according to the terms ‘Non-Financial Misconduct’ or ‘Financial Misconduct’. The categories we use describe the specific nature of the reported issue. Very often more than one allegation will be made in each disclosure. The below table sets out the number of whistleblowing allegations reported to us over the last 3 calendar years (not the number of disclosures) under each of our allegation category headings.
|
Allegation Subject |
2017 |
2018 |
2019 |
2020 |
2021 |
|---|---|---|---|---|---|
|
Total |
Total |
Total |
Total |
Total |
|
|
Fitness & Propriety |
239 |
301 |
443 |
384 |
353 |
|
Systems & Controls |
166 |
146 |
396 |
290 |
131 |
|
Compliance |
63 |
107 |
375 |
525 |
229 |
|
Treating Customers Fairly |
74 |
246 |
342 |
314 |
282 |
|
Culture of organisation |
132 |
136 |
219 |
211 |
184 |
|
Consumer Detriment |
131 |
114 |
161 |
185 |
100 |
|
Fraud |
111 |
109 |
119 |
119 |
136 |
|
Data Security |
28 |
67 |
109 |
86 |
57 |
|
Unauthorised Business |
65 |
51 |
92 |
117 |
95 |
|
SYSC 18 |
0 |
19 |
70 |
62 |
74 |
|
Mis-selling |
37 |
54 |
67 |
54 |
51 |
|
Pressure Selling |
35 |
49 |
57 |
54 |
26 |
|
KYC |
12 |
18 |
50 |
36 |
22 |
|
FSMA |
76 |
72 |
45 |
28 |
178 |
|
Capital Adequacy |
N/A |
N/A |
39 |
51 |
46 |
|
AML |
24 |
35 |
38 |
33 |
16 |
|
Market Activity |
19 |
17 |
25 |
35 |
27 |
|
Insider Dealing |
23 |
18 |
21 |
21 |
14 |
|
Consumer Credit |
50 |
27 |
17 |
29 |
16 |
|
Market Manipulation |
20 |
41 |
16 |
21 |
18 |
|
Remuneration and incentivisation |
10 |
16 |
15 |
17 |
21 |
|
Pension |
23 |
22 |
12 |
7 |
23 |
|
Crime |
11 |
14 |
8 |
14 |
26 |
|
Competition |
2 |
4 |
4 |
1 |
2 |
|
Non-regulated products |
1 |
1 |
3 |
2 |
5 |
|
FX-related |
5 |
2 |
2 |
0 |
2 |
|
Client Assets |
10 |
19 |
1 |
6 |
13 |
|
Terrorist Finance |
1 |
6 |
1 |
5 |
4 |
|
Bribery & Corruption |
16 |
9 |
0 |
11 |
14 |
|
Business Continuity Planning |
N/A |
N/A |
0 |
24 |
2 |
|
Covid 19 |
N/A |
N/A |
0 |
55 |
34 |
|
OPBAS AML |
0 |
1 |
0 |
1 |
0 |
|
Senior Manager Regime |
5 |
1 |
1 |
0 |
0 |
|
Sexual Harassment |
0 |
5 |
13 |
8 |
0 |
|
Benchmarks |
5 |
0 |
0 |
0 |
0 |