Copy and Edit

B: FCA Objectives

Description

CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C5.1: Responsibilites & approach to regulation) Mind Map on B: FCA Objectives, created by Mark Varela on 02/04/2014.
Mark Varela
Mind Map by Mark Varela, updated more than 1 year ago
Mark Varela
Created by Mark Varela over 10 years ago
47
0
0

Resource summary

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

        Annotations:

        • - 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

            Annotations:

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

              Annotations:

              • - publishing info about regulated persons or requires them to
              1. Transparency
              Show full summary Hide full summary

              Want to create your own Mind Maps for free with GoConqr? Learn more.

              Similar

              C3: Enforcement in civil & criminal courts
              Mark Varela
              G: Laws of succession
              Mark Varela
              D: Other Regulators
              Mark Varela
              A2: Financial Services Act 2012
              Mark Varela
              D1A-D2: Compliance monitoring
              Mark Varela
              A: UK's Financial Services Regulatory Landscape
              Mark Varela
              D1: Regulatory supervisison & the risk-based approach
              Mark Varela
              C2: FCA's Enforcement Division
              Mark Varela
              C: Part 4a Permission
              Mark Varela
              D: Law of agency
              Mark Varela
              B: Powers of attorney
              Mark Varela
              Browse Library