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) identify – identifying instances where the UK financial system or firms are harming consumers, have the potential to do so, or where the UK financial system is working poorly and not providing sufficient benefit to consumers2;(2) diagnose – diagnosing potential harm, including its cause, extent and potential development2; (3) remedy – assessing the range of the FCA’s available regulatory tools and making a judgement about
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