Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options

Content Options

View Options

SYSC 1.1A Application

[Note: ESMA has also issued guidelines under article 16(3) of the ESMA Regulation covering:

- various topics relating to automated trading and direct electronic access. See; and

- certain aspects of the MiFID suitability requirements which also deal with the system and control aspects of suitability. See]


1The application of this sourcebook is summarised at a high level in the following table. The detailed application is cut back in SYSC 1 Annex 1 and in the text of each chapter.

Type of firm

Applicable chapters


Chapters 2, 3, 11 to 18, 213

Managing agent

Chapters 2, 3, 11, 12, 18, 213


Chapters 2, 3, 12, 18, 213

Every other firm

Chapters 4 to 12, 18, 19A4, 213