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Should you invest?
Get your immediate finances in order before you invest. Pay off any short-term debt, have an emergency cash fund and consider investing more in your pension. -
FCA looks for members to help shape secondary markets work
The FCA is establishing a new advisory committee on secondary markets and is looking for expressions of interest from market participants to join it. -
Illiquid assets and open-ended investment funds: DP17/1
We are launching a discussion about some of the risks created when consumers use open-ended funds to gain exposure to assets that may be difficult for the fund manager to buy, sell or value quickly. In this paper we refer to these assets as -
Beyond disclosure for high-risk investments: slow down and think
This article explores our research into risk warnings, decision points and self-certification, published in January 2021. -
FCA fines Aviva Investors £17.6m for systems and controls failings that led to its failure to manage conflicts of interest fairly
While Aviva Investors’ failings were serious, the FCA has recognised that its actions since reporting its failings were exceptional. ... Aviva Investors primarily relied upon the first line of defence, the business, to identify, assess and manage risk. -
FCA overhauls listing rules to boost growth and innovation on UK stock markets
The new rules are the biggest changes to the listing regime in over 3 decades. They aim to support a wider range of companies to issue their shares on a UK exchange, increasing opportunities for investors. -
Individual charged with fraud over unauthorised investment scheme
The FCA has started criminal proceedings against Daniel Pugh, who is charged with one count of fraud and three offences of breaching the Financial Services and Markets Act 2000 (FSMA). -
The retrospective application of rules: feedback on the call for examples
We asked firms to provide examples of the retrospective application of regulatory rules -
Shareholding notification and disclosure
There are several transparency rules under Disclosure Guidance and Transparency Rules Chapter 5 (DTR 5). Find out more about how to make a shareholding notification, certain exemptions and submitting information. -
DP22/2: Primary Markets Effectiveness Review: Feedback to the discussion of the purpose of the listing regime and further discussion
This discussion paper continues our work reviewing how effective our primary markets are as part of the FCA’s strategy to promote competition and positive change. -
A strategy for positive change: our ESG priorities
The FCA's environmental, social and governance (ESG) strategy sets out our target outcomes and the actions we expect to take to deliver these, to support the transition to a net zero economy.