SYSC 13.3 Other related Handbook sections
The following is a non-exhaustive list of rules and guidance in the Handbook that are relevant to a firm's management of operational risk:
- (1)
SYSC 14 and INSPRU 5.1 contain specific rules and guidance for the establishment and maintenance of operational risk systems and controls in a prudential context.
- (2)
COB contains rules and guidance that can relate to the management of operational risk; for example, COB 2 (Rules which apply to all firms conducting designated investment business), COB 3 (Financial promotion), COB 5 (Advising and selling), COB 7 (Dealing and managing) and COB 9 (Client assets).