+257. Competent authorities should form a view on regulatory, legal, and fiscal risks arising from …
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257. Competent authorities should form a view on regulatory, legal, and fiscal risks arising from …
Competent authorities should form a view on regulatory, legal, and fiscal risks arising from non-compliance with laws or regulations. These risks might lead to litigation and penalties for the investment firm. Remedial programmes may also incur large expenses to comply with law and regulations.
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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