Information on EMIR Breach Notifications and MiFIR Transaction Reporting - July 2020

FOI Release Date of Release:

Reference Case Number: FOI7381

Freedom of Information: Right to know request:

  1. Please can you let me know how many firms have submitted an 'EMIR Breach Notification form' to notify the FCA about any errors or omissions in their reports under Art. 9 of EMIR

    (a) the total number of reports received from 3 January 2018 to 29 May 2020.

    (b) Additionally, please can you tell me how many firms have submitted a MiFIR Transaction Reporting 'Error and Omission form

    (c) and the total number of reports received during the same period.
     

  2. Please can you tell me how many MiFIR transaction reports received by the FCA have been corrections of previously submitted reports

    (a)  and what percentage this represents of the overall number of transaction reports submitted to the FCA in the period from 3 January 2018 to 29 May 2020.

FCA response:

Refer to supporting document below

Supporting document

FOI7381 response