Page 45 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)（2024年3月）

期貨和衍生品行業(yè)監管動(dòng)態(tài)

more transparent when an enforcement investigation is opened. Under the plans the

FCA will publish updates on investigations as appropriate and be open about when

cases have been closed with no enforcement outcome.

The moves are a step change from the current process where investigations are

only announced in very limited circumstances.

Therese Chambers, joint Executive Director of Enforcement and Market

Oversight at the FCA said:

‘By being more transparent when we open and close cases we can enhance

public confidence by showing that we are on the case.

‘At the same time, we will amplify the deterrent impact of our work by enabling

firms to understand the types of serious failings that can lead to an investigation,

helping them to change their own behaviour more quickly. Greater transparency will

also drive greater accountability for us as an enforcement agency.’

Steve Smart, joint Executive Director Enforcement and Market Oversight said:

‘Reducing and preventing serious harm is a cornerstone of our strategy. By

delivering faster, targeted and transparent enforcement, we will reduce harm and deter
others. We will also make greater use of our intervention powers to stop harm in real

time.’

Any decision to announce an investigation would be taken on a case-by-case

basis and depend on a variety of factors which will indicate whether to do so is in the

public interest. These include whether the announcement will protect and enhance the

integrity of the UK financial system, reassure the public the FCA is taking appropriate

action, or assist in any investigations.

Announcing an investigation does not mean that the FCA has decided whether

there has been misconduct or breaches of its requirements. Investigations into

individuals will be different and the FCA will not usually announce these types of

32