FCA moves to tackle high-risk investments despite 'limited powers' over issuers

Wants industry views

Sophie King
clock • 4 min read

The Financial Conduct Authority (FCA) is asking for views from members of the financial services sector on how to tackle the issue of high-risk investments, despite admitting that it has 'limited powers' over their issuers.

In the discussion paper, published on Thursday (29 April), which follows the FCA's call for input paper launched in September last year, the FCA asked for views on three areas where changes can be made to protect consumers from harm. Firstly, the classification of high-risk investments which determines the level of marketing restrictions that applies to that investment. The regulator said it is seeking views on whether more types of investments should be subject to marketing restrictions and what restrictions should apply. Secondly, the FCA is requesting views on the segmentation of t...

To continue reading this article...

Join Professional Adviser for free

  • Unlimited access to real-time news, industry insights and market intelligence
  • Stay ahead of the curve with spotlights on emerging trends and technologies
  • Receive breaking news stories straight to your inbox in the daily newsletters
  • Make smart business decisions with the latest developments in regulation, investing retirement and protection
  • Members-only access to the editor’s weekly Friday commentary
  • Be the first to hear about our events and awards programmes

Join

 

Already a Professional Adviser member?

Login

More on Your profession

Verso rejects platform incentives model, says adoption must be earned

Verso rejects platform incentives model, says adoption must be earned

Nucleus-built platform rolled out across advice group with no mandated use as consolidator targets £5bn AUM

Sahar Nazir
clock 27 June 2025 • 2 min read
Number of highly vulnerable clients slides

Number of highly vulnerable clients slides

Dynamic Planner research finds

Jen Frost
clock 27 June 2025 • 2 min read
Anthony Carty: Why the nuance of private equity in advice matters

Anthony Carty: Why the nuance of private equity in advice matters

When done right, PE can help deliver sustainable growth for the whole market

Anthony Carty
clock 27 June 2025 • 4 min read