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Wealth management wake-up call from FCA

A general view looking across Cheapside of the Heron Tower (110 Bishopsgate), 100 Bishopsgate (The Skirt), Tower 42 (NatWest Tower), the former Stock Exchange Tower, 22 Bishopsgate (also known as Horizon 22), 8 Bishopsgate (sometimes referred to as 'the Jenga'), One Leadenhall, 1 Leadenhall Street, 20 Fenchurch Street (The Walkie Talkie) and Canary Wharf commercial skyscrapers in the background on June 29, 2026 in London, England.
Photo: John Keeble/Getty Images

Jean Hurley, Thomas Hyrkiel

4 min read
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The FCA’s new investment disclosure regime is a sign that the regulator is more closely scrutinizing compliance and consumer duty outcomes in the sector.

​The UK wealth management sector has just received its clearest signals yet that the FCA is checking not only compliance processes, but also assessing consumer outcomes.

In its Enforcement Watch 2, published on July 7, the regulator says that it is currently investigating “a firm in the wealth management sector”

​And the

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