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      Page 48 - 期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)(2024年9月刊)
      P. 48

      期貨和衍生品行業(yè)監(jiān)管動(dòng)態(tài)
      
      
      
      
                         improvements in its authorisations service.
      
      
                              Recognising the vital role that the regulator plays in enabling new financial
      
                         services firms’ ability to meet regulatory standards to get off the ground, the FCA has
      
                         improved its authorisation process. Now 98% of cases, including applications by
      
                         wholesale market firms, are assessed within statutory deadlines, up from 89% in Q1
      
                         of 2022/23.
      
      
                              Overseas wholesale financial firms wishing to operate in the UK can also benefit
      
                         from pre-application support from the FCA. The regulator has also recently completed
      
                         the biggest reform to the listing rules in more than 3 decades. These changes support
      
                         economic growth by helping firms access the capital they need to grow.
      
      
                              Other highlights include:
      
      
                              Intervening to stop harm to consumers more quickly
      
      
                              The FCA has continued to improve how it detects problem firms and individuals,
      
                         which helps earlier intervention. For example, it doubled the cancellation of firm
      
                         authorisations in 2023 to 1,261 and used its powers to intervene against 34 firms, who
      
                         caused serious concerns, up 68% on 2022.
      
      
                              Improved fair complaint resolution and compensation
      
      
      
                              The FCA has taken strong action to make sure firms are compensating
      
                         consumers, promptly and fairly, when things go wrong. This year it intervened with
      
                         almost 100 lenders to make sure they were supporting borrowers in financial difficulty,
      
                         and the FCA expects that approximately 270,000 customers will receive close to
      
                         £60m in compensation.
      
      
                              At the same time, through its work on prevention, the Financial Services
      
                         Compensation Scheme (FSCS) levy on the industry has fallen to a 10-year low.
      
      
                              Strong action to tackle financial crime
      
      
      
      
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