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« Risk Management and Performance Management – The Key Benefits | Main | Threat of a Section 166 Reports goes beyond Financial Services »
Tuesday
Jun282011

When is a Section 166 Report required?

DateTuesday, June 28, 2011 at 20:57

As per the The FSA’s risk assessment framework “If your firm declines to carry out the actions in the RMP, we will consider the use of other regulatory tools. For example, in the case of authorised firms, we may require a skilled persons' report under section 166 or a formal request for information under section 165 of FSMA”.

Source: The FSA’s risk assessment framework

AuthorAndrew Smart | Comments Off |
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