UCITS unquoted securities 10% limit breaches information - October 2020

FOI Release Date of Release:

Reference Case Number: FOI7665

Freedom of Information: Right to know request:

  1. The total number of breaches of the 10% limit on holding of unquoted securities under UCITS for each month in 2020: January, February, March, April, May, June, July, August and September.
  2. The total number of funds that breached the 10% limit on holding of unquoted securities under UCITS for each month in 2020: January, February, March, April, May, June, July, August and September.

FCA response:

Refer to the supporting document below.

Supporting document

FOI7665 response