391. In accordance with Article 39(2), point (b) of Directive (EU) 2019/2034, competent authorities …

In accordance with Article 39(2), point (b) of Directive (EU) 2019/2034, competent authorities may require the investment firm to:

• a. involve the management body or its committees more actively in risk-to-client management;
• b. improve the organisational framework to ensure effective providing of services to clients with sufficient (both qualitative and quantitative) human and technical resources (including front and back offices, information systems);
• c. improve the control framework (effectiveness and independence of control functions) to mitigate its risks to clients;
• d. enhance the quality and frequency of reporting on risk-to-client to the management body and senior management.

1. Ülevaade

1.1 Viited

1.2 Tuvastatud nõuded

1.3 Seotud standardid

2. Tuvastatud nõuded

3. Seotud standardid

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