386. Supervisory measures to address deficiencies identified in the assessment of internal …

Supervisory measures to address deficiencies identified in the assessment of internal governance and investment firm-wide controls may focus on requiring the investment firm to strengthen governance and control arrangements, or reducing the risk inherent in its products, systems and operations. When applying supervisory measures to address deficiencies identified in the assessment of the internal governance, competent authorities should engage with competent authorities for the purpose of Directive 2014/65/EU so that the underlying deficiencies/vulnerabilities are addressed in a consistent manner.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

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