Information on Alternative Investment Fund Manager (AIFM) populations - February 2021


Reference Case Number: FOI7928

Freedom of Information: Right to know request:

We are doing some analysis of AIFM populations for client facing work, and would seek the number of FCA-only authorised firms as of today's date (7 Jan 2021) with the following permissions:

  1. All firms with the Managing an unauthorised AIF permission, with the Small AIFM Requirement without any other regulated activities (aside from Agreeing).
  2. All firms with the Managing an unauthorised AIF permission, with the Small AIFM Requirement and with the MiFID Article 2 Exemption Requirement.
  3. All firms with the Managing an unauthorised AIF permission, with the Small AIFM Requirement and the CAD Exempt Requirement.
  4. All firms with the Managing an unauthorised AIF permission, with the Small AIFM Requirement and the BIPRU firm Requirement.
  5. All firms with the Managing an unauthorised AIF permission, with the CPMI firm Requirement without any other regulated activities.
  6. All firms with the Managing an unauthorised AIF permission, with the CPMI firm Requirement without the Managing investments activity.
  7. All firms with the Managing an unauthorised AIF permission, with the CPMI firm Requirement and with the MiFID Article 2 Exemption Requirement.
  8. All other firms with the Managing an unauthorised AIF permission, with the CPMI firm Requirement not captured in (5), (6) or (7) above.
  9. All firms with the Managing an unauthorised AIF permission, without the Small AIFM or CPMI firm Requirements but with the MiFID Article 2 Exemption Requirement.
  10. All firms with the Managing an unauthorised AIF permission, without the Small AIFM or CPMI firm Requirements but with other regulated activities.

Could you please provide this data with Firm Reference Numbers under each heading 1-10.

To clarify, all regulated activities are covered by designated investment business only.

FCA response:

Refer to supporting documents below

Supporting document

FOI7928 response