FCA Sees Progress in Smaller Firms; Are CFDs Coming Under the Radar of High-Risk Investments?

FCA finds failings at smaller firms

U.K. regulator's review IDs weaknesses in high-risk product sales, conflicts and conduct standards The post FCA finds failings at smaller firms appeared first on Investment Executive.

FCA publishes findings from review into smaller asset management firms

On 8 May 2025, the Financial Conduct Authority (FCA) published the findings from its review of business models for smaller asset managers and alternatives.   Background The FCA carried out the review as part of its plans to focus on smaller firms to identify business models that pose greater risks of harm to consumers as part of its 2022 alternatives supervision strategy. The review is intended to help new market entrants, smaller firms and grow…

FCA Sees Progress in Smaller Firms; Are CFDs Coming Under the Radar of High-Risk Investments?

The UK Financial Conduct Authority (FCA) has released the findings of its latest review of smaller asset management and alternatives firms. The review is part of a wider supervisory strategy launched in 2022. The aim is to identify business models that may pose harm to consumers.High-Risk CFD Sales Raise ConcernsAlthough the FCA did not name specific products, the findings are relevant to firms offering leveraged derivatives such as contracts fo…