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Cards Wire 4 segments
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FCA FCA Publications Source document ↗
United Kingdom FCA Publications Conduct & Consumer ✓ 19 claims 26 Oct 2026

FCA finds friction, not exclusion, in banks' treatment of defence SMEs

The FCA has published findings from a discovery exercise into how defence sector SMEs experience banking services. The review covers retail banks, building societies and some e-money firms, and sets out expectations on risk categorisation, reputational considerations and management information, without creating new rules.

  • The review applies to retail banks, building societies and some payment and electronic money institutions.
  • SMEs are defined as businesses with fewer than 250 employees and turnover not exceeding £44 million or balance sheet total not exceeding £38 million.
  • The FCA has written to firms that provide banking services to SMEs to share these findings and set out its expectations.
  • Firms should expect this publication to be treated as point-in-time and can consider it retired by December 2028 if not removed sooner.
  • The FCA states it will monitor firm responses through supervision and intervene where necessary.
Source document
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FCA FCA Publications Source document ↗
United Kingdom FCA Publications Conduct & Consumer ✓ 22 claims 23 Oct 2026

FCA finds private market conflicts controls lagging behind business complexity

The FCA has published detailed findings from its multi-firm review of how private market firms identify, manage and disclose conflicts of interest. It covers asset managers, AIFMs and advisers in private equity, private credit and real estate, and sets out where governance and controls have failed to keep pace with growing business complexity. The regulator expects firms to close gaps and signals targeted follow-up work.

  • The review assessed firms against SYSC 10, COLL 8.5.7, COBS 2.3A.8R, COBS 11.7 and COBS 11.7A, running in two phases: a questionnaire followed by on-site visits.
  • On cross-fund transfers and continuation vehicles weaker frameworks relied more heavily on existing governance, disclosure or investor consent; on gifts and entertainment they relied on policy thresholds and generic approvals; and on information barriers they relied on staff training, judgement and informal safeguards.
  • Only 52% of phase 1 firms said internal audit had a role in reviewing the conflicts framework and its application.
  • The FCA criticised firms whose conflicts frameworks reflected the legal form of UK activities as advisory-only while UK staff were involved in significant, conflict-generating parts of the investment lifecycle.
  • In one case a firm sold a fund asset to an internal fund at NAV rather than pursuing external buyer interest, and could not explain why or how the NAV price served the selling fund.
Source document
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FCA FCA Publications Source document ↗
United Kingdom FCA Publications Conduct & Consumer ✓ 12 claims 22 Oct 2026

FCA sets 2027 timetable for retail investment rule changes

The FCA has published feedback to DP25/3, its discussion paper on expanding consumer access to investments, and set out the next phase of work. This matters to platforms, advisers and product providers because it signals which reforms are prioritised and on what timetable, ahead of formal rule changes.

  • The discussion paper DP25/3 was open for feedback from 8 December 2025 to 6 March 2026, with the feedback statement published 16 October 2026.
  • The FCA will review financial promotion rules for high-risk investments to check whether products with similar risks are treated consistently.
  • The FCA plans to consult in early 2027 on changes to rules and guidance on risk information for mainstream investments.
  • A review of the appropriateness assessment, including the impact of the current model and alternatives, will involve stakeholder engagement in 2027.
  • A multi-firm review of model portfolio services has begun, with findings expected by the first quarter of 2027.
Source document
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FCA FCA Publications Source document ↗
United Kingdom FCA Publications Conduct & Consumer ✓ 20 claims 19 Oct 2026

FCA consults on minimum redemption terms for retail funds holding illiquid assets

The FCA has opened CP26/35, proposing that retail funds investing in illiquid assets such as real estate align their redemption terms with the time it actually takes to sell what they hold. It runs to 11 December 2026, with final rules expected in H1 2027. Anyone running, distributing or wrapping NURS funds in scope should read how the proposals reshape the FIIA regime.

  • The consultation proposes minimum redemption terms for NURS invested mainly in inherently illiquid assets, so terms reflect the time taken to sell them.
  • Scope captures NURS funds with at least 50% of scheme property in inherently illiquid assets, plus other NURS with limited redemption arrangements.
  • The proposals amend the Funds Investing in Inherently Illiquid Assets (FIIA) regime and bind all Authorised Fund Managers.
  • Responses are due by 11 December 2026, with final rules expected in H1 2027.
  • Distributors, advisers, SIPP operators, depositaries and unit-linked life product providers referencing relevant NURS are also in scope.
Source document