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Questions and Answers
Which committee is responsible for making decisions about the issue of warning and/or decision notices?
Which committee is responsible for making decisions about the issue of warning and/or decision notices?
- FSMA
- Enforcement team
- FCA's board
- Regulatory Decisions Committee (RDC) (correct)
Who is accountable for the Regulatory Decisions Committee (RDC)?
Who is accountable for the Regulatory Decisions Committee (RDC)?
- Enforcement team
- FCA's board (correct)
- Chairman of the RDC
- FSMA
Which of the following is NOT a requirement for the procedures followed by the regulator when making decisions about warning and/or decision notices?
Which of the following is NOT a requirement for the procedures followed by the regulator when making decisions about warning and/or decision notices?
- Involvement in establishing evidence
- Fairness
- Financial services and/or legal knowledge (correct)
- Independence
Who is an employee of the FCA in the Regulatory Decisions Committee (RDC)?
Who is an employee of the FCA in the Regulatory Decisions Committee (RDC)?
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What is the purpose of the procedures followed by the regulator when making decisions about warning and/or decision notices?
What is the purpose of the procedures followed by the regulator when making decisions about warning and/or decision notices?
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