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B: FCA Objectives

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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 about 10 years ago
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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
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