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FCA PS · FCA

PS21/17: New uk prudential regime mifid investment firms

Published
Read the official text on the FCA website(opens in a new tab)

Summary pending.

Details

ReferencePS21/17
IssuerFCA

FCA Handbook

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

  • SYSC 4.1.2R · General requirements
    SYSC Senior Management Arrangements, Systems and Controls · in force from 23 Oct 2025
  • SYSC 4.3A.6R · Management body
    SYSC Senior Management Arrangements, Systems and Controls · in force from 1 Jan 2022
  • SYSC 4.3A.8R · Nomination Committee
    SYSC Senior Management Arrangements, Systems and Controls · in force from 1 Jan 2022
  • SYSC 5.1.-2G · Application to a common platform firm
    SYSC Senior Management Arrangements, Systems and Controls · in force from 23 Oct 2025
  • SYSC Sch 2.1G
    SYSC Senior Management Arrangements, Systems and Controls · in force from 23 Oct 2025
  • SYSC Sch 5.4G
    SYSC Senior Management Arrangements, Systems and Controls · in force from 27 Feb 2026
  • MIFIDPRU 7.1.3R
    MIFIDPRU Prudential sourcebook for MiFID Investment Firms · in force from 23 Oct 2025
  • MIFIDPRU 7.2A.1R
    MIFIDPRU Prudential sourcebook for MiFID Investment Firms · in force from 23 Oct 2025

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