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. Pārskats

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Prasības
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Standarti
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EBA -
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