Page 406 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

Sheldon Mills, Executive Director for Consumers and Competition, said:

‘While appointed representatives can bring innovation and choice, principals and

ARs account for more than 60% of the total value of recent claims to the Financial

Services Compensation Scheme. They also generate up to 400% more supervisory

cases and complaints than other directly authorised firms.

‘The changes we’re making will help ensure that principals manage their ARs

better – ensuring that they provide the oversight needed to avoid consumers being

mis-sold or mis-led and to make sure markets can operate safely and fairly. They will

also need to provide us better data and information to support our own work.'

Notes to editors

1. As part of improving the data provided to the FCA, principal firms

should expect to receive a data request for information on their current ARs later
in the year.

2. We have also formed a dedicated new supervisory department to lead

and co-ordinate our cross organisational work on ARs.

3. Even when taking into account their size, on average, principals cause 50

to 400% more supervisory cases and complaints than non-principals (other

directly authorised firms).

https://www.fca.org.uk/news/press-releases/fca-confirms-new-rules-improve-oversigh

t-appointed-representatives

17. 英国金融行为监管局因花旗集团的国际经纪交易商未能发现市场滥用行为，

对其处以 1260 万英镑罚款（2022 年 8 月 19 日）

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