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Enforcement Investigatory powers What powers do national financial services authorities have to examine and investigate compliance? What enforcement powers do they have for compliance breaches? How is compliance examined and enforced in practice? Both the Consolidated Finance Act and the Consolidated Banking Act grant Consob and the Bank of Italy, within their respective competences, strong powers to inspect and require information from supervised entities.
Compliance programmes Programme requirements What requirements exist concerning the nature and content of compliance and supervisory programmes for each type of regulated entity? In Italy there are no specific compliance programmes issued by the competent supervisory authorities. Gatekeepers How important are gatekeepers in the regulatory structure?
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The National Commission for Companies and the Stock Market (Consob) and the Bank of Italy are the national authorities that regulate the provision of financial services and products.
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