Page 49 - 期货和衍生品行业监管动态（2025年11月）
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期货和衍生品行业监管动态
to drive improvements. The regulator will also consider further work to address the
issues identified. The FCA will act against any firms and individuals that fail to meet
required standards.
Mark Francis, director of sell-side markets at the FCA, said:
‘The Consumer Duty raises the bar for consumer protection across financial
services and CFD providers must meet those standards. CFDs are complex, risky
products and it is vital that providers act to deliver good outcomes for customers,
communicate clearly and provide fair value. It is also important that consumers shop
around and ensure they fully understand the investment and its costs.’
The FCA’s review of CFD providers assessed how a range of large and small
firms delivered fair value, including how costs and charges were disclosed.
https://www.fca.org.uk/news/press-releases/fca-review-finds-cfd-providers-may-be-fa
iling-deliver-fair-value-consumers
16. 关于对监管失职进行法定调查并提交报告的政策声明（2025 年 11 月 14 日）
作为一个组织，英国金融行为监管局（FCA）致力于汲取经验教训并持续改
进。FCA 拥有一系列工具来实现这一目标，例如“经验总结”审查、内部审计
以及接受国家审计署的监督，以识别并改进 FCA 监管方式的各个环节。
对于最严重的问题，2012 年《金融服务法案》要求 FCA 发布一份政策声明，
阐明 FCA 在决定是否对可能的监管失职展开调查时将考虑的事项，并将调查结
果和建议报告提交给财政部予以公布。
因此，FCA 审查了关于调查和报告监管失职的政策，以确保其在时过境迁
后仍能适用。与 2013 年发布的政策相比，唯一的实质性变化是 FCA 根据通货膨
胀修订了衡量消费者损害“重大性”的金额门槛。FCA 将继续定期进行此类调
整。
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