Page 398 - 《期货和衍生品行业监管动态》（2022年合集）
P. 398
期货和衍生品行业监管动态
Notes to editors
1. The duty includes a new Consumer Principle that ‘a firm must act to
deliver good outcomes for retail customers’.
2. By setting higher standards for firms, the Duty is central to the
FCA’s transformation to become a more innovative, assertive and adaptive
regulator and is a key part of the FCA’s new three-year strategy to improve
outcomes for consumers and in markets throughout the UK.
3. The FCA has a parliamentary mandate, through the Financial
Services Act 2021, to take this work forward.
4. FCA to introduce new Consumer Duty to drive a fundamental shift
in industry mindset
https://www.fca.org.uk/news/press-releases/fca-consumer-duty-major-shift-financial-s
ervices
15. 英国金融行为监管局严加监管向消费者进行的高风险投资营销行为（2022
年 8 月 1 日）
英国金融行为监管局（FCA）已制定了更严格的规则，以帮助解决鼓励投资
高风险产品的误导性广告问题。
根据这一更加严格的规则，审批和发布营销计划的公司必须具备应有的专业
知识，销售某些类型高风险投资产品的公司需要进一步进行审查，以确保消费者
风险承受能力与其所投资的产品是相匹配的。
此外，公司需要使用更清晰、更突出的风险警告，包括“推荐朋友获得奖励”
等在内的某些投资激励措施现在已经被禁止。
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