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FCA says firms must help retail investors understand complex ETP risks

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Photo: FCA/ GRIP Montage.

Hameed Shuja

2 min read
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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

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