You are viewing COREPRU 5.1 Monitoring obligation as it appeared on 25/10/2027. The current version of COREPRU 5.1 Monitoring obligation was last updated on 25/10/2027.

COREPRU 5.1 Monitoring obligation

25/10/2027R

A firm must monitor and control its concentration risk using sound administrative and accounting procedures and robust internal control mechanisms.

25/10/2027G

COREPRU 5.1.1R requires a firm to monitor and control all sources of concentration risk.  It includes any concentration risk that may arise from the following:

  1. (1) the location of any assets safeguarded in accordance with CASS;
  2. (2) a firm’s own cash deposits; and
  3. (3) earnings.
Point In Time
25/10/2027