Page 56 - 期货和衍生品行业监管动态（2024年12月刊）

期货和衍生品行业监管动态

处理那些最可能在行业中产生威慑力的调查，并更及时地提供结果。我们希望进

一步听取意见，探讨适度增加透明度是否可行。”

FCA 执法与市场监管联合执行董事 Therese Chambers 表示：

“我们认真听取了对首次提案的反馈，并据此做出了调整。我们希望此次发

布的详细内容能够支持进一步的讨论，以便在最终决定之前能充分了解各方观

点。”

首次征求意见的反馈已于 4 月 30 日结束。FCA 一直与各利益相关方保持广

泛沟通，并希望就公共利益测试的实施标准征求更多意见。

FCA 将继续与公司、行业协会、消费者团体、法律界等进行会谈。FCA 董

事会计划于 2025 年第一季度作出最终决定。

FCA Seeks Further Views on Enforcement Transparency Proposals (2024/11/28)

The FCA has published the second phase of its consultation on proposals for a

measured increase in transparency about its enforcement investigations, and set out

plans for further engagement after significant concerns were raised in relation to the

original consultation.

The further consultation also aims to assist ongoing parliamentary scrutiny,

including by the Commons’ Treasury and Lords’ Financial Services Regulation

Committees.

New data released by the regulator shows the pace of investigations accelerating,

including a number of investigations which took 16 months or less to complete. By

providing data and case studies, as well as further detail on the public interest test, the

regulator is sharing greater clarity on how decisions on announcing investigations

could be made - if the changes go ahead.

Four significant changes have been made to the FCA’s proposals in response to

feedback:

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