176. Competent authorities should assess the risk of incurring a loss for clients due to the …

Competent authorities should assess the risk of incurring a loss for clients due to the mismanagement of client assets under management. Assets under management include both assets under discretionary portfolio management and nondiscretionary advisory arrangements of an ongoing nature. This risk may arise, among other sources, from breach of the mandate’s terms, excessive leverage, excessive concentration, assets subject to liquidity squeezes, or inadequate product complexity relative to the mandate.

1. Pārskats

1.1 Atsauces

1.2 Identificētās prasības

1.3 Saistītie standarti

2. Identificētās prasības

3. Saistītie standarti

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