47. Competent authorities should apply the principle of proportionality in the scope, frequency and …

Competent authorities should apply the principle of proportionality in the scope, frequency and intensity of supervisory engagement and dialogue with an investment firm, and supervisory expectations of the standards the investment firm should meet, in accordance with the category of the investment firm as outlined in Table 2 below.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

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