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B: FCA Objectives

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CII - Level 4 Diploma (C5.1: Responsibilites & approach to regulation) R01 - Financial services, regulation, and ethics Mapa Mental sobre B: FCA Objectives, creado por Mark Varela el 02/04/2014.
Mark Varela
Mapa Mental por Mark Varela, actualizado hace más de 1 año
Mark Varela
Creado por Mark Varela hace más de 10 años
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Resumen del Recurso

B: FCA Objectives
  1. Regulatory Principles
    1. Efficiency & Economy
      1. Proportionality

        Nota:

        • - taking into account costs to firms & consumers when imposing burdens or restrictions
        1. Responsibility of consumers
          1. Responsibility of senior management to comply with regulatory framework

            Nota:

            • - responsibility for risk mgmnt & controls within firms
            1. Openness & disclosure

              Nota:

              • - publishing info about regulated persons or requires them to
              1. Transparency
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