+95. Investment firms should monitor compliance with such standards and ensure staff awareness, e.g. …
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95. Investment firms should monitor compliance with such standards and ensure staff awareness, e.g. …
Investment firms should monitor compliance with such standards and ensure staff awareness, e.g. by providing training. Investment firms should define the function responsible for monitoring compliance with and evaluating breaches of the code of conduct or similar instrument and a process for dealing with issues of non-compliance. The results should periodically be reported to the management body.
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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