Page 50 - 期货和衍生品行业监管动态（2024年3月）

期货和衍生品行业监管动态

正如在征求意见前的表态，FCA 很乐意提供支持，作为对任何修改的潜在

影响进行详细研究的一部分。

FCA 曾指出，英国对高净值投资者的定义是国际上的一个例外，其门槛远

低于同类司法管辖区。

在上一份监管范围边界报告中，我们建议收紧投资者被归类为“专业”

（‘sophisticated’）投资者的标准。这是为了避免在许多投资欺诈或不当行为中出

现的风险，即普通投资者往往在压力或指导下进行自我分类，购买与其风险偏好

或损失承受能力不匹配的高风险投资。

Changes to the Financial Promotions Order (2024/3/6)

The FCA and industry implemented the changes to the high net worth

exemption by 31 January 2024 as required under the law.

These changes were taken forward after detailed consultation and

recommendations made by the Treasury Select Committee in 2021 that the

government should re-evaluate the appropriateness of the Financial Promotion Order

exemptions.

We will continue to work with the government on how the financial promotions

regime can be strengthened to avoid consumer harm, while ensuring access to

sustainable sources of investment for growing businesses.

As we did ahead of the consultation, we would be happy to provide support as

part of a detailed examination of the potential impact of any reversal.

We have previously set out that the UK’s definition of a high net worth investor

is an international outlier, with a far lower threshold than comparable jurisdictions.

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