Page 47 - 期货和衍生品行业监管动态（2025年6月）

期货和衍生品行业监管动态

for announcing investigations into regulated and listed firms. In addition, we have

identified three situations where there was broad support for increased transparency:

 Where we’re investigating suspected unauthorised financial services, or a

suspected offence relating to unregulated activity, and an announcement will

warn consumers or investors or help the investigation.

 Where the fact of the investigation has been made public by the subject, an

affiliated company or a regulatory body, government or public body.

 Anonymised announcements, not naming or identifying the subject of the

investigation, where it would be helpful to educate people on the types of

misconduct we are investigating.

These changes will only apply to investigations launched on or after today.

Alongside this, we will continue to improve the pace and focus of our

investigations, increasing the impact of our work for the benefit of consumers and

markets, and therefore the wider economy. Five recent investigations closed with a

public outcome in less than 16 months, compared to an average length of 42 months

in 2023/24.

We have made other changes to the Enforcement Guide to streamline the content

and reduce duplication, reducing it by over 250 pages. We have also confirmed that

we will continue to consult on future changes to the Enforcement Guide.

The new Enforcement Guide will come into force today.

https://www.fca.org.uk/news/statements/updated-version-our-enforcement-guide-publ

ished

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