FCA governance reviews hold significant importance for FCA regulated businesses in the UK.

Dec 5th '23

Here’s why governance reviews are needed:


  • Compliance assurance: Financial Conduct Authority (FCA) governance reviews ensure that businesses comply with FCA rules and regulations, which are crucial for maintaining trust and integrity in the financial industry.
  • Risk mitigation: these reviews help identify and mitigate potential risks, ensuring that businesses operate in a manner that minimizes financial and reputational risks.
  • Consumer protection: by adhering to FCA governance standards, businesses protect consumers from unfair practices and maintain transparency in their operations, aligning with the FCA’s focus on consumer outcomes.
  • Transparency and accountability: FCA reviews promote transparency and accountability within the industry, enhancing overall market integrity.
  • Continuous improvement: regular reviews allow businesses to assess and improve their governance structures, ensuring they adapt to changing regulations and market dynamics.


In summary, FCA governance reviews are a vital tool for maintaining compliance, managing risks, and upholding consumer protection in the UK’s financial sector.





[1] Deloitte

[2] A regulatory perspective: the drivers of culture and the role of purpose and governance

[3] MiFID II: product governance review

[4] Response to the FCA’s Rule Review Framework Consultation

[5] FCA review finds weaknesses in some ‘host’ Authorised Fund Management firms’ governance and operations

[6] FCA Rule Review Framework



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