Regulatory Initiatives Grid

Financial authorities’ plan for upcoming work

High-risk investments financial promotions

Proposals on changes to strengthen our rules to help retail investors make more effective decisions.

CP21/7 A new UK prudential regime for MiFID investment firms

We are consulting on our second phase of proposed rules to introduce the UK Investment Firm Prudential Regime.

Firms

Brexit: transition period ends Coronavirus: information for firms Published coronavirus guidance for firms

Consumers

Coronavirus: support for consumers Avoid coronavirus scams Warnings on unauthorised and clone firms

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Latest news

FCA statement on its work on liquidity mismatch in authorised open-ended property funds
Published:
FCA launches consultation on a new type of fund to support investment in long-term assets
Published:
Financial regulators publish third edition of plan for upcoming work
Published:
Outcomes-focussed regulation: a measure of success?
Published:
FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex…
Published:
Regulation for a different world
Published:
FCA to require pension providers to offer to book Pension Wise appointments for consumers
Published:
The FCA and Practitioner Panel joint survey for 2021 launches
Published:
FCA consults on strengthening investor protections in SPACs
Published:
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Financial Services Register
Gabriel and RegData
Connect
FCA Handbook
Annual fees: online invoices
Authorisation: new to regulation

Latest consultations

CP21/12: A new authorised fund regime for investing in long term assets
CP21/11: The stronger nudge to pensions guidance
CP21/10: Investor protection measures for special purpose acquisition companies: Proposed changes to the Listing Rules
DP 21/1: Strengthening our financial promotion rules for high-risk investments and firms approving financial promotions
CP21/9: Changes to UK MIFID’s conduct and organisational requirements
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Latest policy and guidance

FS21/8: Feedback to consultation paper on liquidity mismatch in authorised open-ended property funds
PS21/4: Extension of Annual Financial Crime Reporting Obligation
FG21/3: Advising on pension transfers
PS21/3 Building operational resilience
FS21/7: Open finance – feedback statement
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Brexit

Temporary Transitional Power and more
Information for firms and consumers

Open consultations

See our current live consultations
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