Status: You are viewing the version of the handbook as on 2019-12-18.

risk control requirements for SMCR firms

    187any of the following requirements:

    (a) SYSC 3 (Systems and Controls) insofar as it relates to risk controls;

    (b) SYSC 7.1.6R, SYSC 7.1.21R and SYSC 7.1.22R;

    (c) COLL 6.11 (Risk control and internal reporting);

    (d) article 23 of the MiFID Org Regulation (Risk management); 198

    (e) article 23(2) of the MiFID Org Regulation (as applied in accordance with SYSC 1 Annex 1 2.8AR, SYSC 1 Annex 1 3.2-AR, SYSC 1 Annex 1 3.2-BR, SYSC 1 Annex 1 3.2CR and SYSC 1 Annex 1 3.3R)); or198

    (f) articles 38 to 45 of the AIFMD level 2 regulation (Risk management).198