Information on MiFIR transaction data

Reference Case Number: FOI11187

Freedom of Information: Right to know request:

I am interested to understand:

The number of MiFIR transaction reports received by the FCA during 2023, ideally split across time periods e.g. monthly or quarterly.
How many distinct LEIs appear in the "Executing entity identification code" field.
How many distinct LEIs appear in the "Submitting entity identification code" field.
How many distinct firms account for 80% of the total number of transaction reports received.

FCA response:

Question 1

Q1 2023	Q2 2023	Q3 2023	Q4 2023
1,959,265,269	1,709,731,900	1,770,323,867	1,813,441,952

There were 2,521 distinct LEIs that were reported in RTS 22 field 4 (Executing entity identification code). This will include both UK authorised MiFID investment firms as well as firms that do not have transaction reporting obligations for whom a trading venue has submitted the transaction report where it was executed through a trading venue’s systems.

Question 3

Fifty one (51) distinct LEIs were reported in RTS 22 field 6 (Submitting entity identification code).

Question 4

Thirty one (31) distinct executing entity LEIs accounted for 79.95% of transaction reports for transactions executed in 2023. While high volume submitters will always be an important part of our data quality work, other factors (e.g. sector, securities types) are also important.

Date of Release: 22/03/2024

Information on MiFIR transaction data - March 2024

Freedom of Information: Right to know request:

FCA response:

Question 1

Question 2

Question 3

Question 4

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