CP16/43: Mifid ii implementation iv

Details

Provisions it relates to

• MiFID II (whole act)
  Inferred · 80%
• MiFIR (whole act)
  Inferred · 75%

FCA Handbook

Handbook provisions the Handbook lists against this paper (only those linked to MiFID II or MiFIR material are shown).

• SYSC 4.1.-2G Application to a common platform firm
• SYSC 4.1.-1G Application to a MiFID optional exemption firm and to a third country firm
• SYSC 4.1.1R General requirements
• SYSC 4.1.2R General requirements
• SYSC 4.1.6R Business continuity
• SYSC 4.1.8G Business continuity
• SYSC 4.2.1R General requirement
• SYSC 4.2.2R Composition of management
• SYSC 4.2.6R Alternative arrangements
• SYSC 4.3A.1R Management body
• SYSC 4.3A.1AR Management body
• SYSC 4.3A.2R Management body
• SYSC 4.3A.3R Management body
• SYSC 4.3A.4R Management body
• SYSC 4.3A.5R Management body
• SYSC 4.3A.6R Management body
• SYSC 4.3A.7R Management body
• SYSC 4.3A.8R Nomination Committee
• SYSC 4.3A.9R Nomination Committee
• SYSC 4.3A.10R Nomination Committee
• SYSC 5.1.-2G Application to a common platform firm
• SYSC 5.1.-1G Application to an MiFID optional exemption firm and to a third country firm
• SYSC 5.1.1R Competent employees rule
• SYSC 5.1.5AAR Knowledge and competence
• SYSC 5.1.5ABR Knowledge and competence
• SYSC 5.1.6R Segregation of functions
• SYSC 5.1.7R Segregation of functions
• SYSC 5.1.12R Awareness of procedures: common platform firm and management company
• SYSC 5.1.13R General
• SYSC 5.1.14R General
• SYSC 6.1.-2G Application to a common platform firm
• SYSC 6.1.-1G Application to an MiFID optional exemption firm and to a third country firm
• SYSC 6.1.1R Adequate policy and procedures
• SYSC 6.2.1R
• SYSC 6.2.1BG
• SYSC 6.2.2G
• SYSC 7.1.-2G Application to a common platform firm
• SYSC 7.1.-1G Application to an MiFID optional exemption firm and to a third country firm
• SYSC 7.1.3R Risk assessment
• SYSC 7.1.5R Risk management
• SYSC 7.1.6R Risk management
• SYSC 7.1.7R Risk assessment
• SYSC 7.1.8G Risk control: additional provisions
• SYSC 7.1.21R Additional rules for CRR firms
• SYSC 8.1.-2G Application to a common platform firm
• SYSC 8.1.-1G Application to an MiFID optional exemption firm and to a third country firm
• SYSC 8.1.1R General requirements
• SYSC 8.1.3G General requirements
• SYSC 8.1.4R Scope of critical and important operational functions
• SYSC 8.1.5R Scope of critical and important operational functions
• SYSC 8.1.6R Outsourcing critical or important operational functions
• SYSC 8.1.7R Outsourcing critical or important operational functions
• SYSC 8.1.8R Outsourcing critical or important operational functions
• SYSC 8.1.9R Outsourcing critical or important operational functions
• SYSC 8.1.10R Outsourcing critical or important operational functions
• SYSC 8.1.12G Outsourcing critical or important operational functions
• SYSC 9.1.-2G Application to a common platform firm
• SYSC 9.1.-1G Application to an MiFID optional exemption firm and to a third country firm
• SYSC 9.1.1AR General requirements
• SYSC 9.1.6G Guidance on record-keeping
• SYSC 10.1.-2G Application to a common platform firm
• SYSC 10.1.2G Requirements only apply if a service is provided
• SYSC 10.1.3R Identifying conflicts
• SYSC 10.1.4R Types of conflicts
• SYSC 10.1.4AG Types of conflicts
• SYSC 10.1.5G Types of conflicts
• SYSC 10.1.6R Record of conflicts
• SYSC 10.1.6AG Record of conflicts
• SYSC 10.1.6BG Record of conflicts
• SYSC 10.1.7R Managing conflicts
• SYSC 10.1.8R Disclosure of conflicts
• SYSC 10.1.9AR Disclosure of conflicts
• SYSC 10.1.10R Conflicts policy
• SYSC 10.1.11R Contents of policy
• SYSC 10.1.11AG Contents of policy
• SYSC 10.1.12G Contents of policy
• SYSC 10A.1.1R Application
• SYSC 18.6.1R Whistleblowing obligations under the MiFID regime
• SYSC Sch 1.2G
• GEN 1.2.2AR
• GEN 1.2.4G
• GEN 2.2.22AR Onshored Regulations and third country firms
• COBS 1.1.1AR Deposits (including structured deposits)
• COBS 1 Annex 1
• COBS 2.1.1R The client's best interests rule
• COBS 2.1.1AR Business with eligible counterparties
• COBS 2.2.-1R Application
• COBS 2.4.4R Reliance on other investment firms: MiFID and equivalent business
• COBS 3.1.4R Mixed business
• COBS 3.2.1R General definition
• COBS 3.3.1BR
• COBS 3.4.1R
• COBS 3.5.1R
• COBS 3.5.2R Per se professional clients
• COBS 3.5.3R Elective professional clients
• COBS 3.5.6R Elective professional clients
• COBS 3.5.8G Elective professional clients
• COBS 3.5.9R Elective professional clients
• COBS 3.6.1R
• COBS 3.6.2R Per se eligible counterparties
• COBS 3.6.4R Elective eligible counterparties
• COBS 3.6.4AR Elective eligible counterparties
• COBS 3.6.6R Elective eligible counterparties
• COBS 3.7.1R
• COBS 3.7.2G
• COBS 3.7.5R
• COBS 3.7.7G
• COBS 3.8.2R Records
• COBS 4.1.4G
• COBS 4.1.7G
• COBS 4.2.1R The fair, clear and not misleading rule
• COBS 4.2.2G The fair, clear and not misleading rule
• COBS 4.3.1R
• COBS 4.5A.1R Application
• COBS 4.7.-1G Application
• COBS 4.7.1R Other direct offer financial promotions
• COBS 6.1A.5BG Acceptable minor non-monetary benefits
• COBS 10.1.2R
• COBS 11.2A.1R
• COBS 11.3.1R General principles
• COBS 11.3.1AR General principles
• COBS 11.3.3G Carrying out client orders
• COBS 11.3.6G Use of information relating to pending client orders
• COBS 11.3.7BR Aggregation and allocation of orders
• COBS 11.3.12G Aggregation and allocation of transactions for own account
• COBS 11.3.14G Transposition of client order handling provisions in the UCITS Implementing Directive
• COBS 11.4.1R Obligation to make unexecuted client limit orders public
• COBS 11.4.2G Obligation to make unexecuted client limit orders public
• COBS 11.4.4AG How client limit orders may be made public
• COBS 11.4.5R Orders that are large in scale
• COBS 11.5A.1R
• COBS 11.7.2R Rule on personal account dealing
• COBS 11A.1.1R General application
• COBS 12.2.14R Application
• COBS 13.4.5G Exceptions
• COBS 13.5.3R Exceptions to the projection rules: projections for more than one product
• COBS 13.5.4G Exceptions to the projection rules: projections for more than one product
• COBS 14.3.1R Application
• COBS 14.3.1AG
• COBS 14 Annex 1
• COBS Sch 1.2AG
• COBS Sch 1.3G
• BCOBS 1 Annex 1 Application of BCOBS to firms selling structured deposits
• CASS 1A.3.1R
• CASS 1A.3.1AR The senior managers regime and the certification regime
• CASS 1A.3.2AR The senior managers regime and the certification regime
• CASS 3.2.4G Application
• CASS 6.1.4R Business in the name of the firm
• CASS 6.1.6R Title transfer collateral arrangements
• CASS 6.1.6DR Title transfer collateral arrangements
• CASS 6.2.1R Requirement to protect clients' safe custody assets
• CASS 6.2.2R Requirement to have adequate organisational arrangements
• CASS 6.3.1R Depositing safe custody assets with third parties
• CASS 6.3.4R Depositing safe custody assets with third parties
• CASS 6.3.4A-1 Depositing safe custody assets with third parties
• CASS 6.3.6AR Third-party custody agreements
• CASS 6.4.1R Non-retail clients
• CASS 6.4.1BG Non-retail clients
• CASS 6.4.1CR All clients
• CASS 6.4.2AR All clients
• CASS 6.4.2BG All clients
• CASS 6.4.3R All clients
• CASS 6.6.2R Records and accounts
• CASS 6.6.3R Records and accounts
• CASS 6.6.34R External custody reconciliations
• CASS 7.10.16R Credit institutions and approved banks
• CASS 7.11.1R Title transfer collateral arrangements
• CASS 7.11.4AR Title transfer collateral arrangements
• CASS 7.12.1R Requirement to protect client money
• CASS 7.12.2R Requirement to have adequate organisational arrangements
• CASS 7.13.3R Depositing client money
• CASS 7.13.8R Selection, appointment and review of third parties
• CASS 7.13.10R Selection, appointment and review of third parties
• CASS 7.13.12R Client bank accounts
• CASS 7.13.20R Diversification of client money
• CASS 7.13.21R Diversification of client money
• CASS 7.13.21AR Diversification of client money
• CASS 7.13.22R Diversification of client money
• CASS 7.13.26R Qualifying money market funds
• CASS 7.13.28R Qualifying money market funds
• CASS 7.15.2R
• CASS 7.15.3R
• CASS 7.15.20R External client money reconciliations
• CASS 9.4.2AR
• CASS 9.4.2BR
• CASS 9.4.4G
• CASS 9.5.2G
• CASS 9.5.4AR
• CASS 9.5.4CG
• CASS 9.5.9G
• CASS 10.1.7R General provisions
• MAR 5.3.1R Rules, procedures and arrangements
• MAR 5.3.1AR Functioning of an MTF
• MAR 5.3.8R Transferable securities traded without issuer consent
• MAR 5.4.1R
• MAR 5.5.1R
• MAR 5.6.1R
• MAR 5.6A.1R
• MAR 5.7.1CD
• MAR 5.10.1R Registering an MTF as an SME growth market
• MAR 5A.4.1R Rules, procedures and arrangements
• MAR 5A.6.1R
• MAR 5A.7.1R
• MAR 5A.8.1R
• MAR 5A.9.1R
• MAR 5AA.1.1R
• MAR 6.4.1R
• MAR 7A.2.1G
• MAR 7A.3.2R Systems and controls
• MAR 9.1.1G Application
• PROD 1.3.1R General: Who? What?
• PROD 3.2.1R General
• PROD 3.3.1R General
• SUP 3.10.7R Client assets report: timing of submission
• SUP 6.4.22G When will the relevant regulator grant an application for cancellation of permission?
• SUP 6 Annex 4.2AG
• SUP 10C.6.1R Compliance oversight function (SMF16)
• SUP 12.4.11R Appointment of an FCA registered tied agent
• SUP 12.5.6AR Prohibition of multiple principals for certain activities
• SUP 12.5.8R Required contract terms for FCA registered tied agents
• SUP 12.6.1AR Monitoring: tied agents; appointed representatives carrying on MCD credit intermediation activity
• SUP 12.6.13R Continuing obligations of firms with tied agents
• SUP 12.6.14R Continuing obligations of firms with tied agents
• SUP 17A.1.1R
• SUP 17A.1.2G
• DEPP 6.2.5G Action against individuals under section 66 of the Act
• DISP 1 Annex 2
• DISP 2.3.1AR Activities by firms
• DISP 2.3.1BG Activities by firms
• DISP Sch 1.2G
• PROF 2.1.16G Exempt regulated activities
• REC 2.2.4G Outsourcing
• REC 2.2.6G Outsourcing
• REC 2.2.7G Outsourcing
• REC 2.4.3G
• REC 2.5.1UK Schedule to the Recognition Requirements Regulations, paragraphs 3 – 3H
• REC 2.6.6UK Suspension and removal of financial instrument from trading
• REC 2.6.7UK
• REC 2.6.11AUK
• REC 2.6.11BUK
• REC 2.6.11CUK
• REC 2.6.18UK
• REC 2.6.18AUK
• REC 2.6.18BUK
• REC 2.6.18CUK
• REC 2.8.1UK Schedule to the Recognition Requirements Regulations, Paragraph 4(2)(d)
• REC 2.9.1UK Schedule to the Recognition Requirements Regulations, Paragraph 4(2)(e)
• REC 2.16A.1UK Schedule to the Recognition Requirements Regulations, Paragraph 9A-9H
• REC 2.16A.1DR Schedule to the Recognition Requirements Regulations, Paragraph 9A-9H
• REC 3.4.2AR Purpose
• REC 3.4.2BR Purpose
• REC 3.4.4AR Purpose
• REC 3.14.2AR Products and services
• REC 3.14A.7CD Pre- and post- trade transparency requirements for equity and non-equity instruments: form of waiver and deferral
• REC 3.15.2R Suspension of services
• REC 3.15.2AR Suspension of services
• REC 3.16.1G
• REC 3.21.1R
• REC 3.24.1R
• REC 3.25.1R
• DTR 5.4.2R

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