Page 52 - 期货和衍生品行业监管动态（2024年11月）
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期货和衍生品行业监管动态
能存在破坏性的材料和支持性的材料。披露审查旨在识别所有相关材料，而不仅
仅是寻找可能存在破坏性的材料。这将降低因错误导致未披露某些文件的风险。
总体而言，FCA 进行改变的目的是通过为案件团队提供更大的支持来提高
披露的质量。
FCA 将密切监测这些改进措施的有效性，并在大约 12 个月后进行进一步审
查，以评估是否需要采取额外步骤来改进其流程。
Enforcement Regulatory Disclosure Review: Outcome (2024/11/11)
Following a review, we have improved our disclosure processes in regulatory
enforcement cases.
In Seiler and others v FCA [2023] UKUT 00133, the Upper Tribunal
recommended that we should review certain elements of the disclosure process in
regulatory enforcement cases. This relates to disclosure of evidence as part of any
regulatory case.
We have completed the review and have made a number of changes to our
processes.
Most significantly, we are:
? taking a broader approach to disclosure which will mean our review of
documents is not focused only on identifying potentially undermining
material
? enhancing our existing training on disclosure to include additional specialist
training for those managing and overseeing disclosure exercises
? providing additional training for staff and more detailed guidance on quality
assurance
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