Page 50 - 期货和衍生品行业监管动态（2025年11月）

期货和衍生品行业监管动态

在以下情况下，FCA 必须进行调查并提交报告：

 涉及受监管人员或其他方的事件表明，在确保适当消费者保护方面

存在重大失误，和/或已经或可能对 FCA 的诚信目标或竞争目标产生

重大不利影响；并且

 若非《金融服务与市场法》（FSMA）所创建的体系或其运作中存在

严重失误，相关事件本可能不会发生，或者不利影响本可能得以减

轻。

预计只有在极特殊的情况下才会开展正式的法定调查并向财政部提交报告。

Statement of Policy on Statutory Investigations into Regulatory Failure and

Producing Reports (2025/11/14)

As an organisation, we want to learn lessons and continuously improve. We have

a range of tools for doing this, such as ‘lessons learned’ reviews, internal audits and

scrutiny by the National Audit Office, to identify and address any areas where we can

improve our regulatory approach.

For the most serious issues, the Financial Services Act 2012 (the Act) requires us

to publish a statement of policy setting out the matters we will take into account to
decide whether we carry out an investigation into possible regulatory failure, and give

a report of the findings and recommendations to the Treasury for publication.

We have therefore reviewed our policy for investigating and reporting on

regulatory failure to ensure it is fit for purpose given the time elapsed. The only

substantive change from the policy published in 2013 is that we have revised the

monetary thresholds for ‘significance’ of consumer detriment in line with inflation.

We will continue to do this periodically.

We are required to carry out an investigation and produce a report when:

 There have been events involving a regulated person or others which

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