Open Enforcement Investigations numbers and types of cases - February 2022

1. Further to FOI7817, how many FCA enforcement investigations are currently open into firms, broken down by:
   (a) civil
   (b) criminal
   (c) dual track
   (d) regulatory and
   (e) total
    
2. How many FCA enforcement investigations into firms have
   (a) ever been opened
   (b) ever been closed and
   (c) been opened and closed in each year from 2016 to date?
    
3. In each year from 2016 to date, what have been the outcomes of closed investigations into firms, broken down by:
   (a) variation / cancellation / withdrawal of approval / permissions
   (b) financial penalty
   (c) public censure
   (d) suspension / restriction
   (e) criminal outcome
   (f) civil outcome
   (g) prohibition
   (h) redress / restitution
   (i) closed with no action taken
   (j) other (please provide details)?

All data is correct as at 31 December 2021.

1.     Further to FOI7817, how many FCA enforcement investigations are currently open into firms [and individuals], broken down by:

(a)    civil

(b)    criminal

(c)    dual track

(d)    regulatory and

(e)    total?

2(c)  How many FCA enforcement investigations into firms [and individuals] have been opened and closed in each year from 2016 to date?

You may also wish to refer to the enforcement data which is published annually as part of the FCA’s Annual Report[1].

3.     In each year from 2016 to date, what have been the outcomes of closed investigations into firms [and individuals], broken down by:

(a)    variation / cancellation / withdrawal of approval / permissions

(b)    financial penalty

(c)    public censure

(d)    suspension / restriction

(e)    criminal outcome

(f)    civil outcome

(g)    prohibition

(h)    redress / restitution

(i)     closed with no action taken

(j)    other (please provide details)?

Note: Information is collated by primary outcome

Note:  Information on fines[2] issued by the FCA.