Reference Case Number: FOI7145
Freedom of Information: Right to know request:
I am looking for information in relation to the number of enforcement cases against Senior Managers under the SMCR.
Could you please provide the following information?
(1). How many enforcement investigations did the FCA open into individuals who hold SMFs per financial year? This includes information for the following years, 16/17, 17/18, 18/19, 19/20(to present time of request)
(2a). How many enforcement investigations into individuals who hold SMFs did the FCA close without action per financial year? This includes the same dates listed in (1).
(2b). How many enforcement investigations into individuals who hold SMFs did the FCA close with action per financial year? This includes the same dates listed in (1).
(3). How many enforcement investigations into individuals who hold SMFs did the FCA have open as of the end of each Financial year, since the Regime went live in March 2016?
(4). Of the numbers disclosed in (3), could you please break down the numbers by the individual's respective SMF? (e.g. SMF1, SMF2, SMF3, SMF4, SMF5 etc.)
FCA response:
Please refer to supporting document