Reference Case Number: FOI7637
Freedom of Information: Right to know request:
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1. Please can you confirm the current number of open FCA enforcement investigations? 2. Please can you confirm how many of the enforcement investigations referred to in the response to 1. are into: a. Firms? b. Individuals? 3. Please can you confirm how many of the enforcement investigations referred to in the response to 2b. are into: a. Individuals who are classified as Senior Managers under the Senior Managers and Certification Regime (the SMCR)? b. Individuals who are identified by their firms as being Certified Persons for the purposes of the SMCR? c. Individuals who are neither Senior Managers nor Certified Persons but are required to comply with the FCA's Code of Conduct (COCON)? 4. How many enforcement investigations does the FCA have open into alleged 'non-financial misconduct'? By non-financial misconduct, we mean the conduct referred to by the FCA in various speeches and publications as including alleged sexual misconduct, harassment, bullying, discrimination, intimidation, favouritism and/or exclusion. 5. How many of the enforcement investigations referred to in 4. above are into: a. Firms? b. Individuals? |
FCA response:
Refer to the supporting document below.