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Status: You are viewing the version of the handbook as on 2009-03-31.

SYSC 13.3 Other related Handbook sections

SYSC 13.3.1G

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. (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. (2)

    COBS 1contains rules and guidance that can relate to the management of operational risk; for example, COBS 2 (Conduct of business obligations), COBS 4 (Communicating with clients, including financial promotions), COBS 6 (Information about the firm, its services and remuneration), COBS 7 (Insurance mediation), COBS 9 (Suitability (including basic advice)), COBS 11 (Dealing and managing), COBS 12 (Investment research), COBS 14 (Providing product information to clients) and COBS 19 (Pensions: supplementary provisions).1

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