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

Supervisory measures to address deficiencies identified in the assessment of the risk-to-client and the associated management and control arrangements are likely to focus on requiring the investment firm to reduce the level of inherent risk or strengthening management and control arrangements.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

• EBA - Published by the European Banking Authority at https://www.eba.europa.eu/