FCA: Financial promotions quarterly data 2021 Q4

The FCA undertakes many reviews of firms’ financial promotions, which are identified through multiple sources including both consumer and firm referrals. The FCA looks at every financial advert reported to it. Where it concludes that an advert is in breach of its rules, it asks the firm which has communicated or approved it to withdraw the advert, or change it so that it complies with the FCA requirements. It may also ask firms to consider whether any customers may have acted on the basis of non-compliant promotions and to take appropriate action to remedy any harm which consumers may have suffered as a result.

This data shows the number of actions the FCA has taken to mitigate non-compliance of its financial promotions rules and guidance for 2021 Q4.

In Q4 2021 the FCA reviewed 268 financial promotions from multiple sources.

金融行为监管局（Financial Conduct Authority，简称FCA）对多家公司的财务推广活动进行了大量审查，这些活动通过包括消费者和公司推荐在内的多种渠道被识别。FCA对所有报告给它的财务广告进行审查。若其认为某广告违反了相关规定，则要求发布或批准该广告的公司撤回该广告，或进行修改以确保符合FCA的要求。此外，FCA还可能要求公司考虑是否有任何客户可能基于不合规的推广行为采取了行动，并采取适当的措施以弥补消费者可能遭受的任何损害。本数据展示了FCA为减轻其财务推广规则和指南在2021年第四季度的非合规行为所采取的行动数量。在2021年第四季度，FCA对来自多个来源的268项财务推广活动进行了审查。