Page 43 - 期货和衍生品行业监管动态（2024年8月刊）

期货和衍生品行业监管动态

在认识到监管机构在帮助新设金融服务公司成立过程中的重要作用后，FCA

优化了其批准流程，如今 98%的案件都能够在法定期限内完成评估，这一数据高

于 2022/23 年第一季度的 78.9%。

对于希望在英国开展业务的海外批发金融公司，FCA 提供了预申请支持。

此外，FCA 还完成了近年来对上市规则的最大规模改革。

FCA 将持续推动金融市场的创新，其中包括建立一个永久性的数字沙盒，

为公司在产品开发的初期阶段提供支持的测试环境。

FCA 还确认，自 8 月 1 日起，其在准备成本效益分析时将向新的独立专家

小组征求意见。这将适用于那些预计对相关行业产生年度直接净成本达 1000 万

英镑及以上的监管提案。

Financial Regulator Seeks to Reduce Burdens on Firms and Support Growth

(2024/7/29)

The rules governing financial services could be streamlined to reduce burdens on

businesses, following a review launched by the FCA.

The move comes after the introduction of the Consumer Duty, which makes sure

that businesses deliver good outcomes for consumers when they buy financial
products and services. The regulator is calling on industry to identify rules which

could be removed or simplified if they overlap with the Duty.

Reducing complexity of the FCA’s rulebook could lower costs for firms,

encourage innovation and help support the risk appetite needed to support growth,

ultimately boosting international competitiveness and the economy over the

long-term.

Launching the review, Nikhil Rathi, chief executive of the FCA said:

‘We are firmly committed to playing our part in supporting economic growth.

The Consumer Duty marked a major shift for firms and consumers by setting higher

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