Reference Case Number: FOI11509
Freedom of Information: Right to know request:
Please could you provide the volume/number of filings for the following forms from 2022 and 2023?
AIFMD Annex IV Reports:
- AIF001
- AIF002
ESEF (European Single Electronic Format) Compliance:
- Annual Financial Reports in XHTML format
- iXBRL tagging for consolidated financial statements
MiFID II Compliance:
- Transaction Reporting (Article 26 of MiFIR)
- Systematic Internaliser Notification
- Suspicious Transaction and Order Reports (STORs)
- Commodity Derivatives Position Reporting
FCA response:
Table 1 below sets out the number of AIFMD Annex IV report filings requested:
| No of Filings | AIF001 | AIF002 |
|---|---|---|
| 2022 | 6188 | 38015 |
| 2023 | 6341 | 42447 |
Table 2 below sets out the number ESEF Compliance returns filings you requested:
| No of Filings | Tagged | Untagged |
|---|---|---|
| 2022 | 594 | 353 |
| 2023 | 685 | 432 |
Please note that in the above table ‘Tagged’ relates to iXBRL tagging for consolidated financial statements filings and ‘Untagged’ relates to Annual Financial Reports in XHTML format filings.
You may like to be aware that details on the ESEF Compliance filings are available via the FCA’s National Storage Mechanism. You can view the filings for 2022 and 2023 by running the following query:
Category=Annual Financial Report, ESEF AFR Type=All, Filing Date From=01/01/2022, Filing Date To=31/12/2023
Table 3 below sets out the number of MiFID II Compliance filings requested:
| 2022 | 2023 | |
|---|---|---|
| Transaction Reports (Article 26 of MiFIR) | 8,086,965,231 | 7,250,306,152 |
| Systematic Internaliser Notifications | 15 | 1 |
| Suspicious Transaction and Order Reports (STORs) | [s21] | [s21] |
| Commodity Derivatives Position Reports | 45,367,627 | 42,143,459 |
The information you have asked for on STORs is publicly available on our website, the number of filings for 2022 can be found here[1] and 2023 here[2].
For this reason, we are exempted from having to disclose it to you under section 21 (information reasonably accessible to the applicant by other means) of FOIA. For more information on why we are applying this exemption please see Annex A below.