Being regulated - Financial Conduct Authority

Being regulated

Regulated firms need to meet the standards that are set out in our Handbook

You may have to provide us with relevant information to show that you are meeting these standards.

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How we supervise firms

Published: 20/05/2015     Last Modified: 05/04/2016

We aim to deliver a sustainable programme of supervision that is primarily focused on markets rather than individual firms. Through forward looking, judgement-based regulation, we seek to identify and head off risks before they crystallise. When things do go wrong, we robustly seek redress for consumers who suffer harm and take action to address damage to market integrity.

Approved persons

Published: 06/08/2015     Last Modified: 07/10/2015

An approved person is an individual that we approve to do one or more activities for an authorised firm. We call these activities 'controlled functions'.

Fees and levies

Published: 06/08/2015     Last Modified: 07/10/2015

Find out about the fees we charge and what they cover, and the levies we collect for organisations that are part of the regulatory system.

Client money and assets

Published: 06/08/2015     Last Modified: 07/10/2015

Find out how to follow our client assets rules, including sending us a return about your client assets.

Fair treatment of customers

Published: 06/08/2015     Last Modified: 14/08/2015

All firms must be able to show consistently that fair treatment of customers is at the heart of their business model.

Enforcement

Last Modified: 14/08/2015

Our enforcement work should make it clear that there are real and meaningful consequences for firms and individuals that breach our rules.

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