Information on list of firms for each category of Part 4A permissions- December 2022

FOI Release Date of Release:

Reference Case Number: FOI9766

Freedom of Information: Right to know request:

Can you provide a breakdown for each category of Part 4A permissions? How many firms currently authorised and regulated by the FCA have the following permission?

  • Managing investments
  • Managing an authorised AIF
  • Managing an unauthorised AIF
  • Managing a UCITS
  • Establishing, operating or winding up a collective investment scheme

FCA response:

We can confirm that we hold the requested information, which is set out in the table 1 below;

Table 1

Category of Part 4A Permission

Number of authorised firms which hold each Part 4A Permission

Managing investments

2321

Managing an authorised AIF

105

Managing an unauthorised AIF

1183

Managing a UCITS

0*

Managing a UK UCTIS

127

Establishing, operating or winding up a collective investment scheme

375

*Following the UK leaving the European Union, FCA regulated firms previously listed as subject to ‘Managing a UCTIS’ permissions are now listed as “Managing a UK UCITS”.