Reference Case Number: FOI11628
Freedom of Information: Right to know request:
‘Regarding Mifid 2 Transaction reporting. How many in-scope investment firms submit transaction reports directly to the FCA and how many submit via an ARM (by count and reporting volume)?
Please provide:
The number of firms reporting directly to FCA and via ARM for the past 3 years.
The number of transaction reports submitted directly to FCA and via ARM for the past 3 years.
FCA response:
We can confirm we hold the information requested, and our response is below.
The table below sets out the information requested on UK MiFID investment firms subject to transaction reporting obligations:
| 2021 | 2022 | 2023 | 2024 YTD | |
|---|---|---|---|---|
| The number of firms reporting directly to the FCA | 20 | 21 | 23 | 24 |
| The number of firms reporting via approved reporting mechanism (ARM) to the FCA | 1,406 | 1,385 | 1,361 | 1,296 |
| The number of transaction reports submitted directly to the FCA* | 324,161,418 | 476,575,883 | 355,717,186 | 263,934,633 |
| The number of transaction reports submitted via ARM to the FCA | 7,890,789,150 | 8,042,535,241 | 6,917,602,491 | 5,254,242,770 |
The figures include transaction reports submitted by UK branches of third country investment firms that are subject to UK transaction reporting requirements.
The figures do not include transaction reports submitted by UK trading venues under Article 26(5) of UK MiFIR, for transactions executed through their systems on behalf of third country investment firms that are not subject to UK transaction reporting requirements.
We have provided information for the last 3 full calendar years and 2024 year to date (which covers the period from 1 January 2024 to 17 September 2024).