Reference Case Number: FOI7017
Freedom of Information: Right to know request:
According to the Financial Times, The Financial Conduct Authority received 1,335 notifications of inaccurate transaction reporting under the Markets in Financial Instruments Directive (Mifid II) in 2018.
The article in question refers to a freedom of information request made by the firm Bovill.
Can you please confirm:
How many notifications of inaccurate transaction reporting under MifiD II did you receive in 2019?
Can you please confirm how many different firms you received these MifiD II inaccurate transaction reports from in 2019?
As at the date of your response to this request, how many AIFM firms have been sanctioned and/or fined over inaccurate transaction reporting?
Can you please confirm how many AIFM firms you received these inaccurate transaction reports from?
Furthermore, if possible, can you please provide:
The number of UK investment firms (that need to be MiFID II compliant) in the UK in 2019?
The total number of transaction reports you received in 2019?
FCA response:
Please refer to supporting documents