Page 49 - 期貨和衍生品行業監管動態（2024年9月刊）

期貨和衍生品行業監管動態

Since April 2023, the FCA has charged 21 people with financial crime offences

which is the highest number of charges it has made in a single year. In 2023, it

secured 9 freezing orders, 6 more than in 2022, and restrained ￡21.1m in assets of

individuals under investigation.

Protecting consumers in the crypto market

The FCA has introduced new rules that require cryptoassets promotions to UK

consumers to be clear, fair and not misleading. This helps consumers better

understand what they are buying, and the risks involved.

Protecting consumers

Since 31 July 2023, more than 42,000 firms must make sure they can evidence

good outcomes for consumers for any new and existing ‘on sale’ products and

services, and for closed ‘not on sale’ products since 31 July 2024, in line with the

Consumer Duty.

Supporting innovation

The FCA continues to support innovation in financial markets, including the

creation of a permanent Digital Sandbox, a testing environment that supports firms at
the early stage of product development.

Ashley Alder, Chair of the FCA, said:

‘The report period saw the introduction of significant additions to our remit, an

extension of our external accountability and an expansion of our statutory objectives.

‘These changes, together with the introduction of the Consumer Duty, will help

determine how the FCA is able to contribute to the health and success of the UK

financial services sector for years to come.’

Nikhil Rathi, Chief Executive Officer of the FCA, said:

‘As we have shown this year, we are fully committed to both supporting and

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