Page 53 - 期货和衍生品行业监管动态（2024年11月）

期货和衍生品行业监管动态

? clarifying the roles and responsibilities of staff and managers involved in

disclosure, and

? giving greater emphasis to the importance of disclosure in measuring and

rewarding staff performance

We are required to disclose all documents on which we rely to build regulatory

enforcement cases, as well as any other material which in our opinion might

undermine our decision to take action.

Under our new broader approach, we will disclose all material that is relevant to

the facts of the matter, save where it is disproportionate, not in the public interest, or

otherwise inappropriate to do so. This will include all material that is potentially

undermining as well as supportive material. Disclosure reviews will be aimed at

identifying all the relevant material and will not be focused on only looking for

potentially undermining material. This will reduce the risk that we mistakenly fail to

disclose a document.

Overall, the aim of our changes is to improve the quality of our disclosure by

providing greater support for case teams.

We will closely monitor the effectiveness of the changes we are making, and will

conduct a further review in approximately 12 months’ time to assess whether we

should take further steps to improve our processes.

https://www.fca.org.uk/news/statements/enforcement-regulatory-disclosure-review-ou

tcome

14. 2024 11 12

英国金融监管机构已确认实施新规则，以增强为金融公司提供关键服务的技

术以及其他第三方的韧性。

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