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| Topic: |
Business
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| Number of pages / Number of words: |
9 / 2263 |
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These are supported by principles of good regulation such as efficiency and economy, competition, innovation, proportionality, role of management, innovation, international character.
Compliant competent and sustainable regulation:
In August 1989 Oonagh McDonald, was invited by the SIB to undertake a study about competence among professionals working under the regulation of the recently Financial Services Act, 1986...
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McDonald emphasises the terms competence and compliance as a criteria for working in this industry. Although the FSA does not directly refer to these terms it said that investment business should be performed by “fit and proper personsâ€. In his report on investor protection McDonald wrote:
“Regulators and Practitioners alike have increasingly emphasised that 'fit and proper' persons obviously have to be 'competent' and that compliance with rules requiring suitable and 'best advice' has to be based on a thorough knowledge of the investment products available as well as the skill to relate such information to the customer's needs...
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