Related provisions for FEES App 1.1.7
1 - 20 of 33 items.
This chapter is also intended to remind credit unions that the Senior Management Arrangements, Systems and Controls sourcebook (SYSC) also contains a number of high level rules and guidance2 relating to senior management arrangements, systems and controls designed to have general application to all firms, including credit unions. SYSC 1, SYSC 4 to SYSC 10 and SYSC 212 apply to all credit unions in respect of the carrying on of their regulated activities and unregulated activities
This chapter (the custody rules) applies to a firm:21(1) [deleted]22(a) [deleted]22(b) [deleted]22(1A) 2when it holds financial instruments belonging to a client in the course of its MiFID business;7(1B) 2when it is safeguarding and administering investments, in the course of business that is not MiFID business;7(1C) when it is acting as trustee or depositary of an AIF; 79(1D) when it is acting as trustee or depositary of a UCITS; and97(1E) in respect of any arrangement for a