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.

Climate change and sustainable finance

Financial services and markets have an important role to play in the transition to a more sustainable future.

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

Outcomes-focussed regulation: a measure of success?
Published:
Regulation for a different world
Published:
FCA fines Sapien Capital Ltd for serious financial crime control failings in relation to cum/ex…
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:
FCA sets out proposals to strengthen its financial promotion rules for high-risk investments
Published:
FCA secures bankruptcy of 3 individuals involved in an unauthorised share scheme
Published:
Compliance, Culture and Evolving Regulatory Expectations
Published:
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Financial Services Register
Gabriel and RegData
Connect
FCA Handbook
Annual fees: online invoices
Authorisation: new to regulation

Latest consultations

CP21/11: 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
CP21/8: FCA regulated fees and levies: Rates Proposals 2021/22
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Latest policy and guidance

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
Finalised Guidance: Mortgages and coronavirus: further updated tailored support guidance for firms
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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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