+256. Competent authorities should focus on the following sources of inherent conduct risk where …
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256. Competent authorities should focus on the following sources of inherent conduct risk where …
Competent authorities should focus on the following sources of inherent conduct risk where relevant: - a. closure or suspension of a fund;
- b. number of misconduct incidents: mis-selling, market manipulation;
- c. regulatory penalties incurred.
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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