WebMar 18, 2024 · FCA's Approach to BCP. The FCA's approach to business continuity is set out in the Systems and Controls (SYSC) section of its Handbook. These rules apply to … Webthe Financial Conduct Authority. The FCA met with 22 firms including wealth and asset management firms, fund administrators and platform firms. The sample of firms selected aimed to reflect the asset management and platform sectors as a whole and as a result firms of all sizes and with different business models were included in the review.
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WebCOBS 6 : Information about the Section 6.1 : Information about the firm and firm, its services and compensation information (non-MiFID and remuneration non-insurance distribution provisions) 6 6.1.5 G 6.1.6 R 6.1.7 R Release 28 Apr 2024 www.handbook.fca.org.uk COBS 6/3 (b) other than in the case of acommon platform … WebSYSC 5.1.-2 G 01/01/2024 RP. For a common platform firm: (1) the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and. (2) the rules and guidance apply as set out in the table below: Subject. Applicable rule or guidance. Competent employees rule, knowledge and competence and ... modiphius conan wiki
What is SYSC? - Medium
WebApr 14, 2024 · 1A firm (other than a common platform firm) 10 must employ personnel with the skills, knowledge and expertise necessary for the discharge of the responsibilities allocated to them. [Note:10 articles 12(1)(a) and 14(1)(c) of the UCITS Directive and article 5(1) of the UCITS implementing Directive]6. 3 WebSYSC 5 : Employees, agents and Section 5.1 : Skills, knowledge and expertise other relevant persons 5 5.1.7 R 5.1.7A G 5.1.8 G 5.1.9 G 5.1.10 G 5.1.11 G Release 28 Apr 2024 www.handbook.fca.org.uk SYSC 5/5 Thesenior personnelof acommon platform firmmust define arrangements concerning the segregation of duties within thefirmand the … WebJun 8, 2016 · Financial Conduct Authority ... Rules in SYSC 8 are binding on firms that are (or will be) common platform firms, but have the status of guidance for all other firms. We do not propose to issue a comprehensive list of functions that would be considered purely administrative or technical. These will depend on context and the proposed … modiphius conan kickstarter