Page 46 - 期货和衍生品行业监管动态（2023年12月刊）

期货和衍生品行业监管动态

This final report must be read together with the report on our initial observations

published in February 2023.

The IFPR aims to streamline and simplify the prudential requirements for the

3,500 MiFID investment firms that are prudentially regulated.

Our review highlights that most firms reviewed engaged well and showed that they

were able to make the transition to the new regulations. However, there were areas for

improvement. These include improvements around group ICARA processes, internal

intervention points, wind-down assessments, liquidity assessments, operational risk

capital assessments and regulatory data submissions.

Firms must act now to consider our findings and assure themselves that they are

meeting our rules and are mitigating harm from their operations.

The multi-firm review aims to assist firms in understanding and meeting the

requirements and enhancing their processes. It supports our commitment within our 3-

year strategy to reduce and prevent serious harm and to reduce harm in firm failure.

https://www.fca.org.uk/news/news-stories/fca-publishes-final-report-ifpr-

implementation-observations

16. 英国金融行为监管局为投资公司费用披露制定宽容措施（2023 年 11 月 30

日）

英国金融行为监管局（FCA）制定了临时措施，让投资公司更有能力解释其

费用，以帮助消费者做出更明智的投资决定。

FCA 正在采取措施解决人们的担忧，即当前的披露义务正在为消费者带来

无用的费用信息。

为了更好地披露费用，FCA 将允许基金提供其费用组成部分的事实明细。

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