Investment & Consumer Duty — FCA Regulatory Updates
Investment managers, advisers and capital-market participants track the Consumer Duty, MiFID-derived rules, listing and market-abuse regimes. This is the FCA's busiest publication area by volume.
What we monitor for Investment & Consumer Duty
- Consumer Duty for investments and advice
- Listing rules, IPO and prospectus reform
- Market abuse (MAR) and transaction reporting
- Sustainability disclosure (SDR) and labelling
17 publications in the last 90 days
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News Story
NEW
2026-10-27
Investment & Consumer DutyAML & Financial Crime
On 23 October 2026, Bullseye Financial Ltd (Bullseye Financial) entered administration. Robert Young of Azets Holdings Limited and Matthew Haw of RSM UK Restructuring Advisory LLP were appointed as jo
News Story
2026-10-26
Investment & Consumer Duty
On 17 September 2026, Chandler King (City) Limited (Chandler King) went into creditors’ voluntary liquidation. Grace Jones and Karyn Jones of Parker Andrews were appointed as joint liquidators.
Chand
Press Release
2026-10-23
Investment & Consumer Duty
Private market firms vary in how well they identify and manage conflicts of interest, according to an FCA review.
Private markets refer to investments in assets, companies, or debt not listed or trad
Other
2026-10-22
InsuranceInvestment & Consumer Duty
Speech by Nikhil Rathi, FCA chief executive at the Corporation of the City of London’s annual City Dinner, Mansion House.
The success of the UK’s financial servicesIn August, flight cancellations lef
Other
2026-10-22
Payments & E-MoneyConsumer Credit & BNPLInsuranceInvestment & Consumer DutyMortgage & Lending
Financial services firms reported 1.85 million complaints between January and June 2026.
...
Use the data to understand complaints trends, compare p
Other
2026-10-22
Payments & E-MoneyInsuranceInvestment & Consumer DutyMortgage & Lending
Use the sortable tables below to explore the number of complaints by product and complaints relative to the number of products.
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How to use this tableTo se
Other
2026-10-22
Consumer Credit & BNPLInsuranceInvestment & Consumer DutyMortgage & LendingAML & Financial Crime
The data relates to the first half of 2026 (H1) and includes data from firms that report 500 or more complaints within this 6-month reporting period, or 1,000 or more for an annual reporting peri
Other
2026-10-22
Investment & Consumer Duty
Investments complaints 2026 H1There were 67,935 complaints about investment products, 25.2% more than in 2025 H2.Investment ISAs remained the largest complaint category in the sector.Firms received 23
Other
2026-10-21
Investment & Consumer Duty
Speech by Sarah Pritchard, deputy chief executive, at Investment Association Annual Dinner 2026.
Reform: more than writing rulesIn this sector, we’re just past peak rule making. The scale of change h
Other
2026-10-21
Crypto & Digital AssetsInvestment & Consumer DutyAML & Financial Crime
We’re consulting on non-Handbook guidance to help firms providing financial services using decentralised finance (DeFi) comply with our rules on operational resilience and financial crime, and with th
Press Release
2026-10-21
Investment & Consumer Duty
The FCA has banned Jeffrey Dawkins, the former chief executive of Vector Wealth Ltd, after he dishonestly acted as a front for a disqualified director using the company to sell high-risk bonds.
Mr Da
News Story
2026-10-15
Investment & Consumer Duty
On 14 October 2026, Jarvis Investment Management Limited (Jarvis Investment) entered special administration. Adam Stephens and Philip Hemming of S&W Partners LLP were appointed as special administ
Press Release
2026-10-13
Investment & Consumer DutyAML & Financial Crime
The FCA has conducted a major operation to disrupt a suspected organised criminal group for engaging in insider dealing and money laundering.
On 13 October, 3 individuals were arrested following a jo
Press Release
2026-10-13
Investment & Consumer DutyMortgage & LendingAML & Financial Crime
Two people who worked at financial advice firms have pleaded guilty to fraud after 4 clients lost £2m.
Kerry Nelson, the director of Nexus Independent Financial Advisers Limited and Nexus Investment
Press Release
2026-10-09
InsuranceInvestment & Consumer DutyMortgage & Lending
The FCA Board has appointed Liam Coleman as chair of the Financial Ombudsman Service, with the approval of the Treasury.
Liam will take up the permanent role on 10 October 2026 for a 3-year term, hav
Blog
2026-10-08
Investment & Consumer Duty
Corporate finance firms help businesses raise funding and implement strategic transactions, supporting investment and growth.This brings responsibility: clients need to be able to trust that firms wil
Press Release
2026-10-08
Payments & E-MoneyInvestment & Consumer Duty
The FCA has set out clearer expectations for asset managers about long-term investments, such as property.
This will help give the market more confidence to invest in funds that support private marke
Frequently asked questions
- What FCA publications affect investment & consumer duty firms?
- Investment managers, advisers and capital-market participants track the Consumer Duty, MiFID-derived rules, listing and market-abuse regimes. This is the FCA's busiest publication area by volume. FCA Radar tracks Policy Statements, Consultation Papers, Handbook Notices, Dear CEO letters and Final Notices relevant to investment & consumer duty.
- How often does the FCA publish investment & consumer duty updates?
- The FCA publishes across its news and publications feeds most working days. This page shows every matching item from the last 90 days, refreshed daily.
- How do I get alerts for investment & consumer duty FCA changes?
- Subscribe to the Investment & Consumer Duty sector digest from £29/mo, or all sectors for £49/mo. You get an email whenever a relevant FCA publication lands.