UK · FCA Handbook sourcebook
SYSCSYSC Senior Management Arrangements, Systems and Controls
Read the official text on the FCA Handbook(opens in a new tab)Only the provisions of SYSC that are linked to MiFID II or MiFIR material are listed here. The full sourcebook is on the FCA Handbook site.
Linked provisions
- SYSC 1 Annex 1 Part 1
- SYSC 1 Annex 1 Part 2
- SYSC 1 Annex 1 Part 3
- SYSC 1 Annex 1 Table A Table A: Application of the common platform requirements in SYSC 4 to SYSC 10
- SYSC 1 Annex 1 Table B Table B: Application of the common platform requirements in SYSC 4 to 10 to MiFID optional exemption firms and third country firms
- 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 4.1.1-AR 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 4.3.2-AR
- 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 6.1.2-AR Adequate policy and procedures
- SYSC 6.1.3-AR Compliance function
- SYSC 6.1.3-BR Compliance function
- SYSC 6.1.3-CR Compliance function
- SYSC 6.1.4-AB Compliance function
- SYSC 6.1.5AR Compliance function
- 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 7.1.2-AR Risk assessment
- 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 8.1.4AR 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 8.1.6-AR 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 8.1.11-AR Outsourcing critical or important operational functions
- SYSC 8.1.11-BR Outsourcing critical or important operational functions
- SYSC 8.1.11-CG 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 9.1.1BR General requirements
- SYSC 9.1.2-AR
- 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 10.1.6AAR 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 10.1.11AAR Contents of policy
- SYSC 10.1.11ABR
- SYSC 10.1.12G Contents of policy
- SYSC 10A.1.1R Application
- SYSC 10A.1.6R Obligations for telephone and electronic communications
- SYSC 10A.1.7R Obligations for telephone and electronic communications
- SYSC 10A.1.8R Obligations for telephone and electronic communications
- SYSC 10A.1.10G Obligations for telephone and electronic communications
- SYSC 10A.1.11R Notification
- SYSC 10A.1.12G Notification
- SYSC 10A.1.12AR Notification
- SYSC 10A.1.13R Obligation for other communications
- SYSC 10A.1.14R Record-keeping
- SYSC 10A.1.15R Additional requirements on recording of telephone conversations or electronic communications
- SYSC 10A.1.16R Additional requirements on recording of telephone conversations or electronic communications
- SYSC 18.6.1R Whistleblowing obligations under the MiFID regime
- SYSC 19F.1.3R MiFID requirement on remuneration incentives
- SYSC 19F.1.4R Remuneration policies and practices
- SYSC 19F.1.5G Remuneration policies and practices
- SYSC 19G.5.3R Identifying material risk takers
- SYSC 24.3.10G Dividing and sharing management functions between different people
- SYSC Sch 1.2G
- SYSC Sch 2.1G
- SYSC Sch 5.4G
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