MER Data Reference Guide
This section of the website contains the Data Reference Guide (DRG) which specifies the required format for XML regulatory data submitted through the GABRIEL system. It is aimed at IT professionals with a knowledge of XML at firms and Independent Software Vendors.
The DRG describes the XML format of the actual regulatory data that is required under Mandatory Electronic Reporting (MER) for each data item set out in the FSA Handbook. This XML data can be either submitted directly to the FSA using system-to-system 'Direct Communication' through the GABRIEL Direct Submission Gateway, or uploaded into GABRIEL's online forms using 'Web Upload'. See our Overview of submission methods for further details. For the technical details of how to use the GABRIEL Gateway and Web Upload, please refer to the Technical Pack.
We intend to accept XML submissions conforming to these specifications from 1 July 2008 but the timing is different for different Data Items. All the specifications are still subject to change.
The following tables give access to all the components of the Data Reference Guide (DRG). If the guide is new to you, then please read the DRG Introduction [PDF] before looking at anything else.
There is also some introductory information about the structure of the guide and how to use it.
The latest additions and changes to the DRG components have been published on 5 June 2008 - there have been no updates since then. The DRG change log explains the additions and changes since the first components were published on 23 March 2007.
| Bulk Downloads (ZIP Files) | |
|---|---|
| Download (ZIP file) | Description |
| Entire DRG (43 MB) | If you download this file, you do not need any other files from this web page. |
| DRG omitting Auto-Docs (1.5 MB) | This is the Entire DRG but with the auto-generated JPG and PDF schema documentation files omitted to reduce the size of the download file. Such schema documentation can be reproduced in many XML editors purely from the schema files (they contain no information above what is in the schemas themselves). |
| Only General Docs and Schemas (4 MB) | This does not include any Data Item specific specifications or schemas which will need to be downloaded separately. |
| General MER Documentation | |
|---|---|
| View Document (PDF file) | Description |
| DRG Introduction v3 [PDF] (5 June 2008) | This provides an overview of Mandatory Electronic Reporting and the Data Reference Guide (DRG) and includes a description of all the other material that makes up the DRG. You should read this before looking at the other material |
| Cross Validation Rules v4 [PDF] (5 June 2008) | A list of all the cross Data Item validation rules that must be met. |
| DRG Change Log v6 [PDF] (5 June 2008) | A description of changes made to previously published data items. |
| General Schemas | |
|---|---|
| View individual files (new web page) |
Download full specification (ZIP file) |
| CommonTypes (Common data types schema referenced by all data items . All data item definitions are valid with the latest version of the CommonTypes schema and it is recommended that only this latest version is used. Some published data item schemas will still refer to older versions of the CommonTypes schema. This is to avoid publishing new versions of data items if nothing has changed in the data item and the changes to CommonTypes has no impact on that data item) | version 4 (25 January 2008) |
| SDS001 (Shared definition schema referenced by FSA031, FSA032 and RMA-E) | version 4 (5 June 2008) |
| SDS002 (Shared definition schema referenced by MLA-F and MLA-H) | version 2 (25 January 2008) |
| SDS003 (Shared definition schema referenced by data items that can be reported on a consolidated basis) | version 3 (25 January 2008) |
| SDS004 (Shared definition schema referenced by data items RMA-D1 and RMA-D1-D2)
|
version 1 (5 June 2008) |
| MetaData (Meta data referenced by all data items, but not necessary for submission of data to the FSA) | version 1.0 (23 March 2007) |
| Data Items | |
|---|---|
| View individual files (new web page) |
Download full specification (ZIP file) |
| Complaints This is the version of the Complaints data item set out in CP07/17. However, indications are that this version will not be introduced from 1 October 2008 , but that the Complaints-FOL version will be continued instead (see below). The CP07/17 version would then be introduced at a later date, currently anticipated to be August 2009. This is still subject to confirmation, which will be provided in the December 2007 policy statement which gives feedback on CP07/17. | version 1 (12 October 2007) |
| Complaints-FOL This is the version of the Complaints data item as presented in the Firms OnLine (FOL) system and set out in Legal Instrument 2005/11. Current indications are that this version will be introduced from 30 September 2008 , rather than the revised version that was consulted on in CP07/17 (see above). This is still subject to confirmation, which will be provided in the December 2007 policy statement which gives feedback on CP07/17. | version 1 (16 November 2007) |
| CQ Quarterly return for credit unions | version 2 (25 January 2008) |
| CY Annual return for credit unions | version 2 (25 January 2008) |
| FSA001 Balance sheet | version 3 (16 November 2007) |
| FSA002 Income statement | version 3.1 (5 June 2008) |
| FSA003 Capital adequacy | version 5 (25 January 2008) |
| FSA004 Further breakdown of certain credit risk data | version 4.1 (5 June 2008) |
| FSA005 Market risk | version 4 (25 January 2008) |
| FSA006 Market risk - Supplementary data | FSA006 cannot be submitted in XML format |
| FSA007 Operational risk | version 2 (16 November 2007) |
| FSA008 Large exposures | version 4 (25 January 2008) |
| FSA009 Key data during 2007 | FSA009 cannot be submitted in XML format |
| FSA010 Mismatch liquidity | version 4.1 (5 June 2008) |
| FSA011 Building society liquidity | version 3 (25 January 2008) |
| FSA012 Non-deposit-taking EEA bank liquidity | version 2 (25 January 2008) |
| FSA013 Stock liquidity | version 3 (25 January 2008) |
| FSA014 Forecast data from firms | version 2 (16 November 2007) |
| FSA015 Sectoral information, including arrears and impairment | version 4 (25 January 2008) |
| FSA016 Solo consolidated data | version 2 (16 November 2007) |
| FSA017 Interest rate gap report | version 3 (25 January 2008) |
| FSA018 UK integrated groups – large exposures | version 3 (25 January 2008) |
| FSA019 Pillar 2 information | version 4 (25 January 2008) |
| FSA020 ELMIs balance sheet | version 2 (25 January 2008) |
| FSA021 Income statement ELMIs | version 1 (31 August 2007) |
| FSA022 ELMIs capital requirements | version 2 (25 January 2008) |
| FSA023 Foreign exchange risk (electronic money institutions) | version 2 (16 November 2007) |
| FSA024 Large exposures (electronic money institutions) | version 2 (25 January 2008) |
| FSA025 Liquidity (electronic money institutions) | version 3 (25 January 2008) |
| FSA026 ELMI questions | version 1 (31 August 2007) |
| FSA027 Small e-money issuer | version 1 (31 August 2007) |
| FSA028 Non-EEA sub-group | version 3 (25 January 2008) |
| FSA029 Balance Sheet | version 1 (12 October 2007) |
| FSA030 Income Statement | version 1 (12 October 2007) |
| FSA031 Capital adequacy for exempt CAD firms subject to IPRU (INV) Ch 9 only | version 3 (19 December 2007) |
| FSA032 Capital adequacy for exempt CAD personal investment firms subject to IPRU (INV) Ch 13 choosing to carry out activities under MiFID Article 67(3) | version 3 (19 December 2007) |
| FSA033 Capital adequacy for firms subject to IPRU (INV) Ch 3 | version 1 (12 October 2007) |
| FSA034 Capital adequacy for firms subject to IPRU (INV) Ch 5 not subject to exemption in IPRU (INV) 5.2.3(2)R | version 2.1 (5 June 2008) |
| FSA035 Capital adequacy for firms subject to IPRU (INV) Ch 5 subject to exemption in IPRU (INV) 5.2.3(2)R | version 1 (12 October 2007) |
| FSA036 Capital adequacy for UCITS firms subject to UPRU | version 1.1 (5 June 2008) |
| FSA037 | This data item no longer applies |
| FSA038 Volumes and type of business | version 1 (12 October 2007) |
| FSA039 Client money and client assets | version 1 (12 October 2007) |
| FSA040 CFTC data: Specialist data for firms subject to CFTC part 30 exemption order in respect of open positions for LME transactions of US customers | version 2 (5 June 2008) |
| FSA041 Asset managers that use hedge fund techniques report | version 1 (12 October 2007) |
| FSA042 UCITS | version 1 (12 October 2007) |
| FSA043 | This data item no longer applies |
| FSA044 Analysis of assets and deposits by maturity | version 3 (19 December 2007) |
| FSA045 IRB portfolio risk | version 4 (25 January 2008) |
| FSA046 Securitisation | version 4 (25 January 2008) |
| MLA-A1-A2 Balance sheet | version 1 (12 October 2007) |
| MLA-A3 Analysis of loans to customers | version 1 (12 October 2007) |
| MLA-B1 Income statement | version 1 (12 October 2007) |
| MLA-B2 Provisions analysis | version 1 (12 October 2007) |
| MLA-C Capital adequacy | version 1 (12 October 2007) |
| MLA-D Lending - business flow and rates | version 2 (25 January 2008) |
| MLA-E Residential lending to individuals - new business profile | version 2 ((25 January 2008) |
| MLA-F Lending - arrears analysis | version 2 (25 January 2008) |
| MLA-G Mortgage administration - business profile | version 1 (12 October 2007) |
| MLA-H Mortgage administration - arrears analysis | version 2 (25 January 2008) |
| MLA-J Fees and levies | version 1 (12 October 2007) |
| RMA-A Balance sheet | version 1 (12 October 2007) |
| RMA-B Profit and loss account | version 1 (12 October 2007) |
| RMA-C Client money and assets | version 2 (5 June 2008) |
| RMA-D1 Regulatory capital | version 2 (5 June 2008) |
| RMA-D1-D2 Regulatory capital and Financial resources – non MiFID personal investment firms | version 1 (5 June 2008) |
| RMA-E Professional indemnity insurance (PII) self-certification | version 4 (5 June 2008) |
| RMA-F Threshold conditions | version 1 (12 October 2007) |
| RMA-G Training and competence | version 2 (19 December 2007) |
| RMA-H COBS data | version 3 (5 June 2008) |
| RMA-I Supplementary product sales data | version 2 (19 December 2007) |
| RMA-J Data required for calculation of fees | version 1 (12 October 2007) |