Reference Case Number: FOI11901
Freedom of Information: Right to know request:
- Number of firms in 2024 who received S166 notices in relation to RTS 22 transaction reporting or market surveillance failures.
- Provide this data by regime transaction reporting/market surveillance for 2024, 2023, 2022, and 2021.
FCA response:
The requested information is set out below.
The table below shows the number of skilled person reviews commissioned by the FCA under s166 of the Financial Services and Markets Act 2000 to address potential transaction reporting and market surveillance failings since 2021.
| Year | Transaction reporting under Article 26 of the UK Markets in Financial Instruments Regulation (UK MiFIR) | Market surveillance under Article 16 of the UK Market Abuse Regulation (UK MAR) |
|---|---|---|
| 2021 | 1 | 1 |
| 2022 | 0 | 0 |
| 2023 | 1 | 1 |
| 2024 | 3 | 2 |