Reference Case Number: FOI7469
Freedom of Information: Right to know request:
Under the Freedom of Information Act, and with reference to previous FOI number FOI6181, I would like to know:
1. The number of new enforcement investigations opened by the FCA
2. The number of enforcement investigations closed by the FCA
Please could you provide this information broken down by quarter, I.e. 1 January – 31 March, for the years 2019 and 2020 and broken down by type as per the list below:
• Retail conduct
• Retail lending
• Client money/assets
• Financial crime
• Mis-selling
• Culture/governance
• Financial promotions
• Wholesale conduct
• Insider dealing
• Market manipulation
• Listing rules/Prospectus rules/DTR breaches
• Misleading statements
• Benchmarks
• Unauthorised business
• App. to revoke/very permission or approval
Please see previous FOI6181 [1]for reference.
If responding to this request is going to exceed the time limit for one FOI, then please could you provide us with the number of investigations open at the most recent data available by type as per the list above. Please could you specify which date you are using.
FCA response:
Please refer to supporting document for response.