D. Regulatory Supervision And Risk-based Approach Flashcards
1
Q
The FCA’s approach to regulation can be summarised as;
A
Product intervention and governance, super complaints, competition powers.
2
Q
The FCA adopted a risk based regulatory approach for authorised firms this means that?
A
Doesn’t treat all firms in exactly the same way.
3
Q
3 different types of supervision
A
Proactive supervision, event driven supervision, thematic approach.
