Policy and Reform: Equity Capital Markets
This part of the topic index contains resources on policy and the reform of equity capital markets. Please select the resource that you require by clicking on the relevant tab below.
2
resources
These resources are maintained, meaning that we monitor developments on a regular
basis and update them as soon as possible.
| 1 | FSMA overview An overview of the Financial Services and Markets Act 2000 (FSMA). | Practice note: overview | Maintained |
| 2 | FCA: role, governance and powers An overview of the FCA, the UK financial services regulator responsible for the conduct of firms authorised under the Financial Services and Markets Act 2000 (FSMA). The FCA is also responsible for the regulation of conduct in retail and wholesale financial markets, supervision of the trading infrastructure that supports those markets and the prudential regulation of firms not regulated by the PRA. The note considers the roles and responsibilities of the FCA, its legal status, its governance arrangements and the accountability mechanisms that apply to it. This note is part of a series of notes relating to the new UK financial services regulatory structure. For more information, see Practice note, A guide to the new UK financial services regulatory structure: index. | Practice notes | Maintained |