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      Page 44 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)(2024年3月)
      P. 44

      期貨和衍生品行業(yè)監(jiān)管動態(tài)
      
      
      
      
                              “減少和預(yù)防嚴重損害是我們戰(zhàn)略的基石。通過更快、更有針對性和更透明
      
      
                         的執(zhí)法,我們將減少損害并增加威懾力。我們還將更多地利用我們的干預(yù)權(quán)來實
      
      
                         時制止損害。”
      
      
      
                              任何宣布調(diào)查的決定都將視個案情況而定,并要考慮各項因素以評估這樣做
      
      
                         是否符合公共利益。這些因素包括:宣布調(diào)查是否會保護和加強英國金融體系的
      
      
                         完整性,是否會向公眾保證 FCA 正在采取適當?shù)男袆樱蛘呤欠裼兄谌魏握{(diào)
      
      
      
                         查。
      
      
      
                              宣布調(diào)查并不意味著 FCA 已對不當行為或違法行為的存在與否做出了認定。
      
      
                         對個人的調(diào)查將有所不同,F(xiàn)CA 通常不會宣布這類調(diào)查。
      
      
      
                              編者按:
      
      
      
                              1.  閱讀咨詢文件。
      
      
      
                              2.  Therese Chambers 發(fā)表演講,闡述了 FCA 新方法的更多細節(jié)。
      
      
      
                              3.  了解有關(guān) FCA 的更多信息。
      
      
      
                         FCA to Improve Pace and Transparency Around Enforcement Cases (2024/2/27)
      
      
                              The Financial Conduct Authority (FCA) has today committed to carrying
      
                         out enforcement cases more quickly as the organisation seeks to increase the
      
                         deterrent impact of its enforcement actions.
      
      
                              In the future the FCA will focus on a streamlined portfolio of cases, aligned to its
      
                         strategic priorities where it can deliver the greatest impact. The FCA will also close
      
                         those cases where no outcome is achievable, more quickly.
      
      
                              As part of the new approach the FCA has begun a consultation on plans to be
      
      
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