Page 43 - 期貨和衍生品行業(yè)監(jiān)管動態(tài)（2024年8月刊）
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期貨和衍生品行業(yè)監(jiān)管動態(tài)
在認(rèn)識到監(jiān)管機(jī)構(gòu)在幫助新設(shè)金融服務(wù)公司成立過程中的重要作用后，F(xiàn)CA
優(yōu)化了其批準(zhǔn)流程，如今 98%的案件都能夠在法定期限內(nèi)完成評估，這一數(shù)據(jù)高
于 2022/23 年第一季度的 78.9%。
對于希望在英國開展業(yè)務(wù)的海外批發(fā)金融公司，F(xiàn)CA 提供了預(yù)申請支持。
此外，F(xiàn)CA 還完成了近年來對上市規(guī)則的最大規(guī)模改革。
FCA 將持續(xù)推動金融市場的創(chuàng)新，其中包括建立一個永久性的數(shù)字沙盒，
為公司在產(chǎn)品開發(fā)的初期階段提供支持的測試環(huán)境。
FCA 還確認(rèn)，自 8 月 1 日起，其在準(zhǔn)備成本效益分析時將向新的獨(dú)立專家
小組征求意見。這將適用于那些預(yù)計對相關(guān)行業(yè)產(chǎn)生年度直接凈成本達(dá) 1000 萬
英鎊及以上的監(jiān)管提案。
Financial Regulator Seeks to Reduce Burdens on Firms and Support Growth
(2024/7/29)
The rules governing financial services could be streamlined to reduce burdens on
businesses, following a review launched by the FCA.
The move comes after the introduction of the Consumer Duty, which makes sure
that businesses deliver good outcomes for consumers when they buy financial
products and services. The regulator is calling on industry to identify rules which
could be removed or simplified if they overlap with the Duty.
Reducing complexity of the FCA’s rulebook could lower costs for firms,
encourage innovation and help support the risk appetite needed to support growth,
ultimately boosting international competitiveness and the economy over the
long-term.
Launching the review, Nikhil Rathi, chief executive of the FCA said:
‘We are firmly committed to playing our part in supporting economic growth.
The Consumer Duty marked a major shift for firms and consumers by setting higher
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