+229. Where an investment firm does not establish and maintain an audit or risk management function …
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229. Where an investment firm does not establish and maintain an audit or risk management function …
Where an investment firm does not establish and maintain an audit or risk management function, it should be able to demonstrate upon request that the performance criteria for staff in charge of the related processes do not provide for incentives to perform the control processes inappropriately.
1. Overview
1.1 References
1.2 Identified Requirements
1.3 Related Standards
2. Identified Requirements
Requirements
| Source |
Requirement |
3. Related Standards
Standards
| Source |
Requirement |
- EBA - Published by the European Banking Authority at https://www.eba.europa.eu/
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