Page 54 - 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

FCA 正在更好地利用数据来更快地发现和阻止损害，并对可能造成损害的

企业采取更严厉的措施。2023 年，FCA 处理了 10,000 多个潜在误导性广告，并

对未经授权的企业和个人发出了 2,243 条警告。与前一年相比，因未达到最低标

准而被注销的企业许可数量也增加了一倍多。

FCA 调整了规则并改进了流程，以确保英国仍然是一个有吸引力的投资地。

这包括提出数十年来影响最深远的上市制度改革方案，以鼓励更多公司在英国上

市并在全球舞台上竞争。

FCA Sets out Plan for the Year Ahead (2024/3/19)

In its Business Plan for 2024-25, the FCA has set out an ambitious programme of

work for the final year of its 3-year strategy to achieve better outcomes for consumers

and markets.

Nikhil Rathi, Chief Executive of the FCA, said:

‘We’ve already made significant progress in delivering against the bold vision

we set out in our strategy two years ago, including the game-changing introduction of

the Consumer Duty and proposing the most far-reaching reforms to wholesale market

regulation and the listing regime in decades.

‘We remain resolute in supporting the vital role the financial sector plays in the

UK’s long-term economic growth, embracing the potential benefits that technology

presents both for us and the firms we regulate, while also continuing to protect

consumers and ensure market integrity.’

The FCA will continue to deliver the 13 commitments in its strategy, which

focuses on preventing serious harm, setting higher standards and promoting

competition. Specific issues it will prioritise include:

? Protecting consumers by testing if firms are meeting the high standards set by

the Consumer Duty, supporting people’s long term financial wellbeing

through the Advice Guidance Boundary Review and making sure pension

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