+Article 7 (f)
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Article 7 (f)
verify whether the institution duly documents and justifies cases where a dealer is assigned to more than one trading desk as referred to in Article 104b(3) of Regulation (EU) No 575/2013, and, for that purpose:
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(i)
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review the responsibility of that dealer in the context of the trading desks to which he or she has been assigned;
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(ii)
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verify whether the tasks performed by the dealer in one trading desk as per the business strategy of that desk do not contradict, nor create any conflict with, the tasks that the dealer performs for the other trading desks;
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1. Panoramica
| Titolo |
Regolamentazione |
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1.1 Riferimenti
1.2 Requisiti identificati
1.3 Standard correlati
2. Requisiti identificati
Requisiti
| Fonte |
Requisito |
3. Standard correlati
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