Related provisions for SUP 1A.4.3

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SUP 1A.4.2GRP
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
The 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. The FCA will not pursue senior managers where there is no personal culpability. However, where senior managers are themselves responsible for misconduct, the FCA will,