Reference Case Number: FOI9391
Freedom of Information: Right to know request:
- The number of all Funds (including authorised Funds, AIFs, UCITs & Collective Investment Schemes) authorised since 2015 – please can you provide a monthly breakdown of applications.
- In line with the above (Q5), please provide an overview of the strategies employed by the firms which were authorised in the same time period – please can you provide a monthly breakdown.
- The number of applications for authorisation (including number of applications rejected) since 2015 - please provide a monthly breakdown.
- The AUMs (range breakdown can suffice) of the Firms and Funds which were authorised in the last 7 years (since 2015) - please provide a monthly breakdown.
FCA response:
Questions 1 and 3
Please find the requested information in the table below. Please note that we only authorise certain types of funds in the UK, which include undertakings for the Collective Investment in Transferable Securities (UCITS), Non UCITS Retail Schemes (NURS) or Qualified Investor Schemes (QIS) and therefore our figures are based on this. The figures below represent authorised funds which we have been informed have taken effect.
Questions 2 and 4
We do not hold this information as this is not information which we record.
Question 1
|
Year/Month |
Number Authorised |
|---|---|
|
2015 |
272 |
|
Jan |
12 |
|
Feb |
30 |
|
Mar |
30 |
|
Apr |
15 |
|
May |
35 |
|
Jun |
24 |
|
Jul |
22 |
|
Aug |
11 |
|
Sep |
13 |
|
Oct |
19 |
|
Nov |
16 |
|
Dec |
45 |
|
2016 |
203 |
|
Jan |
13 |
|
Feb |
22 |
|
Mar |
7 |
|
Apr |
9 |
|
May |
14 |
|
Jun |
17 |
|
Jul |
6 |
|
Aug |
16 |
|
Sep |
37 |
|
Oct |
14 |
|
Nov |
11 |
|
Dec |
37 |
|
2017 |
276 |
|
Jan |
30 |
|
Feb |
18 |
|
Mar |
14 |
|
Apr |
10 |
|
May |
31 |
|
Jun |
34 |
|
Jul |
14 |
|
Aug |
22 |
|
Sep |
12 |
|
Oct |
44 |
|
Nov |
21 |
|
Dec |
26 |
|
2018 |
269 |
|
Jan |
19 |
|
Feb |
11 |
|
Mar |
12 |
|
Apr |
35 |
|
May |
27 |
|
Jun |
8 |
|
Jul |
34 |
|
Aug |
19 |
|
Sep |
8 |
|
Oct |
36 |
|
Nov |
37 |
|
Dec |
23 |
|
2019 |
276 |
|
Jan |
15 |
|
Feb |
18 |
|
Mar |
31 |
|
Apr |
33 |
|
May |
24 |
|
Jun |
33 |
|
Jul |
35 |
|
Aug |
16 |
|
Sep |
25 |
|
Oct |
10 |
|
Nov |
19 |
|
Dec |
17 |
|
2020 |
313 |
|
Jan |
15 |
|
Feb |
12 |
|
Mar |
18 |
|
Apr |
18 |
|
May |
29 |
|
Jun |
12 |
|
Jul |
19 |
|
Aug |
35 |
|
Sep |
36 |
|
Oct |
40 |
|
Nov |
29 |
|
Dec |
50 |
|
2021 |
291 |
|
Jan |
34 |
|
Feb |
22 |
|
Mar |
35 |
|
Apr |
29 |
|
May |
28 |
|
Jun |
28 |
|
Jul |
17 |
|
Aug |
35 |
|
Sep |
24 |
|
Oct |
8 |
|
Nov |
17 |
|
Dec |
14 |
|
2022 |
149 |
|
Jan |
20 |
|
Feb |
36 |
|
Mar |
30 |
|
Apr |
28 |
|
May |
28 |
|
Jun |
7 |
|
Grand Total |
2049 |
Question 3
| Year/Month | Number Authorised |
|---|---|
| 2015 | 69 |
|
Jan |
5 |
|
Feb |
4 |
|
Mar |
4 |
|
Apr |
8 |
|
May |
8 |
|
Jun |
5 |
|
Jul |
10 |
|
Aug |
3 |
|
Sep |
3 |
|
Oct |
5 |
|
Nov |
4 |
|
Dec |
10 |
|
2016 |
45 |
|
Jan |
2 |
|
Feb |
4 |
|
Mar |
1 |
|
Apr |
3 |
|
May |
5 |
|
Jun |
3 |
|
Jul |
8 |
|
Aug |
7 |
|
Sep |
3 |
|
Oct |
3 |
|
Nov |
1 |
|
Dec |
5 |
|
2017 |
64 |
|
Jan |
5 |
|
Feb |
2 |
|
Mar |
4 |
|
Apr |
16 |
|
May |
4 |
|
Jun |
4 |
|
Jul |
4 |
|
Aug |
10 |
|
Sep |
5 |
|
Oct |
4 |
|
Nov |
2 |
|
Dec |
4 |
|
2018 |
79 |
|
Jan |
3 |
|
Feb |
6 |
|
Mar |
4 |
|
Apr |
6 |
|
May |
11 |
|
Jun |
12 |
|
Jul |
5 |
|
Aug |
7 |
|
Sep |
7 |
|
Oct |
5 |
|
Nov |
7 |
|
Dec |
6 |
|
2019 |
59 |
|
Jan |
8 |
|
Feb |
8 |
|
Mar |
8 |
|
Apr |
7 |
|
May |
4 |
|
Jun |
5 |
|
Jul |
4 |
|
Aug |
4 |
|
Oct |
3 |
|
Nov |
5 |
|
Dec |
3 |
|
2020 |
73 |
|
Jan |
4 |
|
Feb |
4 |
|
Mar |
7 |
|
Apr |
2 |
|
May |
5 |
|
Jun |
9 |
|
Jul |
11 |
|
Aug |
5 |
|
Sep |
3 |
|
Oct |
11 |
|
Nov |
5 |
|
Dec |
7 |
|
2021 |
32 |
|
Jan |
1 |
|
Feb |
3 |
|
Mar |
3 |
|
Apr |
1 |
|
May |
5 |
|
Jun |
2 |
|
Jul |
3 |
|
Aug |
2 |
|
Sep |
2 |
|
Oct |
1 |
|
Nov |
4 |
|
Dec |
5 |
|
2022 |
14 |
|
Jan |
3 |
|
Feb |
4 |
|
Mar |
1 |
|
Apr |
1 |
|
May |
2 |
|
Jun |
3 |
|
Grand Total |
435 |