• About the FSA
  • FSA Sector teams
    • Capital Markets
      • The team
      • Key initiatives
      • Publications
      • Industry liaison
      • Useful links

 

Our Capital Markets sector team covers those primary markets in which long-term funding is raised and the secondary markets in which the financial instruments representing those funds are traded. The sector also includes markets that are used for transferring financial risk. Participants in the capital markets may be public or private, individuals or firms, authorised or un-regulated, retail or wholesale. The day-to-day work of our sector focuses on the issues, products or practices that materially affect market quality, pricing or structure – irrespective of the nature of the market participant or end client.

We aim to ensure that the FSA responds proactively and with expertise to risks arising in the capital markets and, in doing so, we make it easier for firms to do business with us. We aim to provide the industry with a single contact point on capital market issues with a transparent and interactive process for our risk identification, prioritisation and response work.

What we do and our aims

• identify and respond to risks arising in the markets;
• encourage a coherent approach to market issues across the FSA;
• develop staff knowledge and skills on capital market structures, products and practices; and
• liaise with the industry and trade associations on market developments, risks and training.