+117. Competent authorities should assess whether the investment firm’s compliance function, and …
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117. Competent authorities should assess whether the investment firm’s compliance function, and …
Competent authorities should assess whether the investment firm’s compliance function, and, where established, risk management function and internal audit function comply with the provisions of Title 5 of the EBA Guidelines on internal governance.
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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