+385. In accordance with Article 39(2), point (f) of Directive (EU) 2019/2034, competent authorities …

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

In accordance with Article 39(2), point (f) of Directive (EU) 2019/2034, competent authorities may:

  • a. require investment firms to reduce the risk inherent in the products they originate/distribute, by means including:
•requiring changes to the risks inherent in certain product offerings; and/or
•requiring improvements to the governance and control arrangements for product development and maintenance;
  • b. require the investment firm to reduce the risk inherent in its systems, by means including:
•requiring improvements to the systems, or increasing the level of investment or speeding-up the implementation of new systems; and/or
•requiring improvements to the governance and control arrangements for system development and maintenance;
  • c. require investment firms to reduce the risk inherent in their activities, including outsourced activities, by means including:
•requiring changes to or reduction of certain activities with a view to reducing their inherent risk; and/or
•requiring improvements to governance and control arrangements and oversight of outsourced activities.

Internal governance and investment firm-wide controls

1. Pārskats

,

1.1 Atsauces

1.2 Identificētās prasības

1.3 Saistītie standarti

2. Identificētās prasības

Prasības

3. Saistītie standarti

Standarti
  • EBA -

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