Related provisions for SUP 1A.4.3

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

These tools may be usefully grouped under four headings:(1) diagnostic: designed to identify, assess and measure risks;(2) monitoring: to track the development of identified risks, wherever these arise;(3) preventative: to limit or reduce identified risks and so prevent them crystallising or increasing; and(4) remedial: to respond to risks when they have crystallised.
EG 2.11.1RP
2The FCA is committed to ensuring that senior managers of firms fulfil their responsibilities. The FCA expects senior management to take responsibility for ensuring firms identify risks, develop appropriate systems and controls to manage those risks, and ensure that the systems and controls are effective in practice.1 Where senior managers have failed to meet our standards1, the FCA will, where appropriate, bring cases against individuals as well as, or instead of,1firms. The