Reference Case Number: FOI11899
Freedom of Information: Right to know request:
1) Number firms per year have been referred to Enforcement for failures that include RTS 22 transaction reporting since January 2021?
a. Provide this data for 2024, 2023, 2022, and 2021
2) Number of firms per year have been referred to Enforcement for any failures since 2021?
a. Provide this data for 2024, 2023, 2022, and 2021?
If this is not possible, please consider providing the number of referrals of firms to the FCA's Enforcement Division relating to failures that include breaches of MiFID RTS 22 reporting requirements, and for any failures respectively, which resulted in an Enforcement investigation being opened since 2021. Please include a breakdown by year from 2021.
FCA response:
The requested information, is set out in the table below.
| Calendar Year | RTS 22 investigation cases opened | All firm investigation cases opened |
|---|---|---|
| 2021 | 46 | |
| 2022 | 60 | |
| 2023 | 1 | 29 |
| 2024 | 1 | 18 |
The table shows the number of referrals of firms to the FCA's Enforcement Division relating to failures that include breaches of MiFID RTS 22 reporting requirements, and for any failures respectively, which resulted in investigators being formally appointed under any of the relevant subsections of section 168 of the Financial Services and Markets Act 2000.