Information on Investment firms and their transaction reporting quality - August 2020


Reference Case Number: FOI7453

Freedom of Information: Right to know request:

1) From 1 April to 30 June 2020, how many investment firms have reported errors in their transaction reporting
2) From 1 April to 30 June 2020, how many firms has the UK regulator held visits, meetings or conference calls for the specific purpose of discussing the quality of their transaction reporting?
3) From 1 April to 30 June 2020, how many firms have requested a data extract from the regulator's Market Data Processor (MDP) system against which to check the accuracy of their reporting?
 

FCA response:

Supporting document

FOI7453