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:
PRU 1.4 and PRU 6.1 contain specific rules and guidance for the establishment
and maintenance of operational risk systems and controls in a prudential context.
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) and COB 7 (Dealing and managing).