Skip to Primary Navigation

FCA says firms must help retail investors understand complex ETP risks

Montage of the FCA logo
GRIP Montage: FCA

The regulator has raised concerns over some firms having weaker controls, and limited assessment of customers’ experience and knowledge of ETP-associated risks.

The UK’s financial watchdog has asked firms to make it easier for retail investors to understand the risks associated with trading in complex exchange-traded products (ETPs).

The FCA has said complex ETPs, despite being a small subset of the wider ETP market, can be high-risk products and may include leveraged