Page 54 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)（2024年3月）
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期貨和衍生品行業(yè)監管動(dòng)態(tài)
FCA 正在更好地利用數據來(lái)更快地發(fā)現和阻止損害，并對可能造成損害的
企業(yè)采取更嚴厲的措施。2023 年，FCA 處理了 10,000 多個(gè)潛在誤導性廣告，并
對未經(jīng)授權的企業(yè)和個(gè)人發(fā)出了 2,243 條警告。與前一年相比，因未達到最低標
準而被注銷(xiāo)的企業(yè)許可數量也增加了一倍多。
FCA 調整了規則并改進(jìn)了流程，以確保英國仍然是一個(gè)有吸引力的投資地。
這包括提出數十年來(lái)影響最深遠的上市制度改革方案，以鼓勵更多公司在英國上
市并在全球舞臺上競爭。
FCA Sets out Plan for the Year Ahead (2024/3/19)
In its Business Plan for 2024-25, the FCA has set out an ambitious programme of
work for the final year of its 3-year strategy to achieve better outcomes for consumers
and markets.
Nikhil Rathi, Chief Executive of the FCA, said:
‘We’ve already made significant progress in delivering against the bold vision
we set out in our strategy two years ago, including the game-changing introduction of
the Consumer Duty and proposing the most far-reaching reforms to wholesale market
regulation and the listing regime in decades.
‘We remain resolute in supporting the vital role the financial sector plays in the
UK’s long-term economic growth, embracing the potential benefits that technology
presents both for us and the firms we regulate, while also continuing to protect
consumers and ensure market integrity.’
The FCA will continue to deliver the 13 commitments in its strategy, which
focuses on preventing serious harm, setting higher standards and promoting
competition. Specific issues it will prioritise include:
? Protecting consumers by testing if firms are meeting the high standards set by
the Consumer Duty, supporting people’s long term financial wellbeing
through the Advice Guidance Boundary Review and making sure pension
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