Page 748 - 《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

polluter pays. We’re continuing our assertive action to prevent harm from happening
in the first place, which should help reduce the levy over time.’

The FCA is already taking action to tackle the root causes of high redress

liabilities and crack down on problem firms as part of its consumer investments

strategy. This includes:

 being tough at the gateway to prevent firms that could cause harm from

entering the market, with one in five firms rejected for authorisation

 placing twice as many restrictions on firms to prevent them from promoting

or selling certain products and services

 using emergency powers to prevent financial advice firms, who advised

members of the British Steel Pension Scheme (BSPS), from disposing of

assets to avoid paying compensation.

https://www.fca.org.uk/news/press-releases/fca-announces-next-steps-improving-com
pensation-framework

650
回 到 首 页 回 到 目 录