Data Reference Guides - Financial Conduct Authority

Data Reference Guides

Published: 09/06/2015     Last Modified: 11/04/2016
The Gabriel Data Reference Guides (DRG) set out the specifications for each version of the data items and other related material to help firms submit data using system-to-system (Direct Communication) and XML Upload submission methods.

The DRGs apply only to FCA data items used for returns under Mandatory Electronic Reporting (MER), as set out in our Handbook. For CRD IV or CRR COREP & FINREP returns, please refer to the Technical Pack for advice on EBA and FCA publications about CRD IV reporting.

We are changing the format of this page and you will see over the course of the next few months, the addition of links on the right-side of the page to the Data Item Individual Guides. We hope that once this change is complete, you will find it easier to navigate to the information you are looking for. Thank you for your patience, the GABRIEL Team.

See our Overview of submission methods for further details. For the technical details of how to use the GABRIEL Gateway and Web Upload, please refer to the Technical Pack.

Each data item specification contains the xml schema, the data definition and a sample xml. Details of the regulatory data required under Mandatory Electronic Reporting (MER) is set out in the FS Handbook.

We have been accepting XML submissions conforming to these specifications from August 2008 but the timing is different for different Data Items. All the specifications are still subject to change.

The following tables give access to the components of the Data Reference Guide (DRG). If the guide is new to you, then please read the DRG Introduction first. This explains in detail how all the material fits together.  

The DRG change log (latest version is 34) explains the changes made to the DRG since the first components were published on 23 March 2007.  News of the latest changes to the DRG can be found on the GABRIEL Technical Publications page.

Bulk Downloads (ZIP Files)

 
Download (ZIP file) Description
Entire DRG (89 MB) If you download this file, you do not need any other files from this web page.
DRG omitting Auto-Docs (2 MB) This is the Entire DRG but with the auto-generated JPG and PDF schema documentation files omitted to reduce the size of the download file. Such schema documentation can be reproduced in many XML editors purely from the schema files (they contain no information above what is in the schemas themselves).
Only General Docs and Schemas (7 MB) This does not include any Data Item specific specifications or schemas which will need to be downloaded separately.
Auto-Documentation (59 MB)
This contains all auto-generated PDF schema documentation files
Logical Structure (36 MB) This file contains all auto-generated logical diagrammatic views in JPG

 

General MER Documentation

 View Document (PDF file) Description
DRG Introduction v4 [PDF] (7 October 2009) This provides an overview of Mandatory Electronic Reporting and the Data Reference Guide (DRG) and includes a description of all the other material that makes up the DRG. You should read this before looking at the other material
Cross Validation Rules v9 [PDF] (1 December 2015) A list of all the cross Data Item validation rules that must be met.
DRG Profile Switch Rules v2 [PDF] (1 June 2010) A description of the rules that switch on or off some sections of some of the RMA data items.

 

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General Schemas

 
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CommonTypes (Common data types schema referenced by all data items. All data item definitions are valid with the latest version of the CommonTypes schema and it is recommended that only this latest version is used. Some published data item schemas will still refer to older versions of the CommonTypes schema. This is to avoid publishing new versions of data items if nothing has changed in the data item and the changes to CommonTypes has no impact on that data item) version 10.0 (31 March 2016)
PSD CommonTypes (Common data types schema referenced by PSD data items. All data item definitions are valid with the latest version of the PSD CommonTypes schema and it is recommended that only this latest version is used.) version 1.2 (1 June 2012)
SDS001 (Shared definition schema referenced by FSA031, FSA032 and RMA-E) version 8 (1 December 2011)
SDS002 (Shared definition schema referenced by MLA-F and MLA-H) version 2 (25 January 2008)
SDS003 (Shared definition schema referenced by data items that can be reported on a consolidated basis) version 4 (7 October 2009)
SDS004 (Shared definition schema referenced by data items RMA-D1 and RMA-D1-D2) version 1 (5 June 2008)
MetaData (Meta data referenced by all data items, but not necessary for submission of data to the FCA) version 1.0 (23 March 2007)

 

Data Items

 
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Complaints-FOL This is the version of the Complaints data item as presented in the Firms OnLine (FOL) system and set out in Legal Instrument 2005/11. It applied to return periods ending between 30 September 2008 and 31 July 2009. version 1 (16 November 2007)
CQ Quarterly return for credit unions version 2 (25 January 2008)
CY Annual return for credit unions version 2.1 (29 January 2009)
FSA002 Income statement version 3.2 (20 December 2010)
FSA004 Further breakdown of certain credit risk data version 5.1 (30 June 2011)
FSA005 Market risk version 7.1 (4 November 2011)
FSA006 Market risk - Supplementary data FSA006 cannot be submitted in XML format
FSA007 Operational risk version 2.1 (29 January 2009)
FSA009 Key data during 2007 FSA009 cannot be submitted in XML format
FSA010 Mismatch liquidity version 4.1 (6 February 2009)
FSA011 Building society liquidity version 4 (7 October 2009)
FSA012 Non-deposit-taking EEA bank liquidity version 2 (25 January 2008)
FSA013 Stock liquidity version 3 (25 January 2008)
FSA014 Forecast data from firms version 2 (16 November 2007)
FSA015 Sectoral information, including arrears and impairment version 4.4 (1 March 2011)
FSA016 Solo consolidated data version 2 (16 November 2007)
FSA017 Interest rate gap report version 4 (13 November 2009)
FSA019 Pillar 2 information version 6 (20 December 2010)
FSA020 ELMIs balance sheet version 2 (25 January 2008)
FSA021 Income statement ELMIs version 1 (31 August 2007)
FSA022 ELMIs capital requirements version 2 (25 January 2008)
FSA023 Foreign exchange risk (electronic money institutions) version 2 (16 November 2007)
FSA024 Large exposures (electronic money institutions) version 2 (25 January 2008)
FSA025 Liquidity (electronic money institutions) version 3 (25 January 2008)
FSA026 ELMI questions version 1 (31 August 2007)
FSA027 Small e-money issuer version 1 (31 August 2007)
FSA028 Non-EEA sub-group version 4 (30 September 2011)
FSA033 Capital adequacy for firms subject to IPRU (INV) Ch 3 version 1 (12 October 2007)
FSA034 Capital adequacy for firms subject to IPRU (INV) Ch 5 not subject to exemption in IPRU (INV) 5.2.3(2)R version 2.1 (5 June 2008)
FSA035 Capital adequacy for firms subject to IPRU (INV) Ch 5 subject to exemption in IPRU (INV) 5.2.3(2)R version 1.4 (1 June 2010)
FSA036 Capital adequacy for UCITS firms subject to UPRU version 2 (1 December 2009)
FSA037 This data item no longer applies
FSA038 Volumes and type of business version 1 (12 October 2007)
FSA039 Client money and client assets version 1 (12 October 2007)
FSA040 CFTC data: Specialist data for firms subject to CFTC part 30 exemption order in respect of open positions for LME transactions of US customers version 2 (5 June 2008)
FSA041 Asset managers that use hedge fund techniques report version 1 (12 October 2007)
FSA042 UCITS version 1 (12 October 2007)
FSA043 This data item no longer applies
FSA044 Analysis of assets and deposits by maturity version 5 (13 November)
FSA045 IRB portfolio risk version 6 (4 March 2011)
FSA046 Securitisation: Non-Trading Book version 8 (4 November 2011)
FSA057 Payment Services Directive Transactions version 1.2 (26 November 2012)
FSA058 Securitisation: Trading Book version 3 (4 November 2011)
MLA-A1-A2 Balance sheet version 1.1 (1 June 2010)
MLA-A3 Analysis of loans to customers version 1 (12 October 2007)
MLA-B1 Income statement version 1 (12 October 2007)
MLA-B2 Provisions analysis version 1 (12 October 2007)
MLA-E Residential lending to individuals - new business profile version 2 (25 January 2008)
MLA-F Lending - arrears analysis version 2 (25 January 2008)
MLA-H Mortgage administration - arrears analysis version 2 (25 January 2008)
RMA-G Training and competence version 3 (1 June 2012)
RMA-I Supplementary product sales data version 3 (16 August 2010)

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