Chapelle | Risk Insights

Don't Tell Your Regulator (7): We don't have clear roles/responsibilities

Written by Andrew Sheen | Mar 17, 2021 6:00:00 AM

This blog is one of a series designed to identify common mistakes made by firms. It explains why the mistake is damaging and could lead to regulatory sanctions, a capital add-on and even a skilled persons review (S166). If you are making this mistake then you need to change your practice.