Reporting - Financial Conduct Authority


On 8 August 2014 ESMA published its final guidelines on the reporting obligations for Alternative Investment Fund Managers (AIFMs).

Information on reporting Annex IV transparency information - Full-Scope UK AIFMs, Small Authorised UK AIFMs and Small Registered UK AIFMs

Information on reporting Annex IV transparency information – Above-Threshold non-EEA AIFMs and Small non-EEA AIFMs

Questions & Answers - Reporting Annex IV transparency information to the FCA - Updated 28 November 2014

The FCA requires firms to submit returns using v1.1 of the ESMA reporting documents.

Submitting your data

Firms must report to the FCA via Gabriel using XML v1.1. The FCA will not be able to accept v1.2. We will keep this under review and will update from v1.1 at a future date; this is not likely to happen until after ESMA is able to accept transparency reporting from competent authorities. 

Please submit your completed returns, using the XML v1.1 reporting template, to:

The subject line of the email should contain your FRN (or firm name for new applications) followed by 'AIFMD Reporting'. We will send an acknowledgement email to confirm receipt.

Please keep checking this page regularly, we will be providing information on how to access Gabriel and information on how FCA firm reference numbers (FRN)  and the FCA product reference numbers (PRN) will be provided to firms.

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