Regulatory information
FCA Regulations
Last updated: October 2026
Who the Financial Conduct Authority is
The Financial Conduct Authority (FCA) is the United Kingdom's regulator for financial services firms and financial markets. It is independent of government and funded by the firms it regulates. Its statutory objectives are to protect consumers, enhance the integrity of the UK financial system, and promote effective competition in the interests of consumers.
What the FCA regulates
The FCA authorises and supervises firms that carry on regulated activities, such as managing investments, advising on investments, and dealing in investments. It sets the rules in its Handbook, including the principles for businesses, the conduct-of-business rules, the client-assets rules that safeguard client money and custody assets, and the individual conduct rules that apply to people working in financial services. The FCA also maintains the Financial Services Register, the public record of authorised firms, and it takes enforcement action against firms and individuals that breach its rules.
Why FCA rules matter to investors
FCA regulation is designed to give investors practical protections: firms must act honestly, fairly and professionally in clients' best interests; must communicate in a way that is fair, clear and not misleading; must manage conflicts of interest; and must hold client assets separately from their own, so those assets are protected if a firm fails. The Financial Ombudsman Service and, for eligible claims, the Financial Services Compensation Scheme provide further avenues of redress connected to authorised firms.
How we apply regulatory standards to our work
Whatever our own regulatory position, the standards set by the FCA describe the way we believe an investment firm should behave. We are paid only by our clients and take no commissions, our reports are written in plain English, client assets are held by an independent custodian and checked daily, and we publish our positions openly. These practices align with the principles and outcomes the FCA expects of investment firms, and they are described across this site and in our brochure.
Checking a firm's status
Before investing with any firm, the FCA encourages investors to check the Financial Services Register at register.fca.org.uk to confirm that the firm is authorised for the activities it claims, and to be wary of firms offering financial services without authorisation. The FCA also publishes warning notices about unauthorised firms and guidance on how to protect yourself from fraud, which we mirror on our fraud protection page.
Our regulatory status
Our regulatory position is described in the disclaimer on this site, and nothing on this page should be read as a statement that SUI Securities Ltd is authorised or supervised by the FCA. If you have questions about how we work, you can reach us through the inquiry form on our homepage.
Further information
The FCA's Handbook, rules and consumer guidance are published at fca.org.uk, and the register of authorised firms is at register.fca.org.uk. Related information on this site is available on our Complaints Procedure and Data Protection pages.