Related provisions for SYSC 10.1.-2

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SYSC 8.1.-2GRP
7For a common platform firm:(1) the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and(2) the rules and guidance apply as set out in the table below:SubjectApplicable rule or guidanceGeneral requirementsSYSC 8.1.1R, SYSC 8.1.2G, SYSC 8.1.3G, SYSC 8.1.12G
SYSC 4.1.-2GRP
21For a common platform firm:(1) the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and (2) the rules and guidance apply as set out in the table below:SubjectApplicable rule or guidanceGeneral requirements SYSC 4.1.1R, SYSC 4.1.1CR, SYSC 4.1.2R, SYSC 4.1.2AARBusiness continuitySYSC 4.1.6R, SYSC 4.1.7R, SYSC 4.1.8GAudit committeeSYSC 4.1.11G, SYSC 4.1.13G, SYSC 4.1.14GPersons who effectively direct the businessSYSC
SYSC 6.1.-2GRP
16For a common platform firm:(1) the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and(2) the rules and guidance apply as set out in the table below:SubjectApplicable rule or guidanceAdequate policy and proceduresSYSC 6.1.1R, SYSC 6.1.1AGCompliance functionSYSC 6.1.4-AG, SYSC 6.1.7RInternal auditSYSC 6.2.2GFinancial crimeSYSC 6.3.1R to SYSC 6.3.11G
SYSC 5.1.-2GRP
10For a common platform firm:(1) the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and(2) the rules and guidance apply as set out in the table below:SubjectApplicable rule or guidanceCompetent employees rule, knowledge and competence and segregation11 of functionsSYSC 5.1.2G to SYSC 5.1.5AG, SYSC 5.1.5AAR, SYSC 5.1.5ABR, SYSC 5.1.5ACG to SYSC 5.1.5AEG,11SYSC 5.1.7R, SYSC 5.1.8G to SYSC 5.1.11GCertification
SYSC 7.1.-2GRP
19For a common platform firm:(1) the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and(2) the rules and guidance apply as set out in the table below:SubjectApplicable rule or guidanceRisk assessmentSYSC 7.1.1GRisk management SYSC 7.1.4R, SYSC 7.1.4AGRisk control: remuneration SYSC 7.1.7BG, SYSC 7.1.7BBGRisk control: additional provisions SYSC 7.1.7CG, SYSC 7.1.8G, SYSC 7.1.9R to SYSC 7.1.16RAdditional rules
SYSC 9.1.-2GRP
5For a common platform firm:(1) the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and(2) the rules and guidance apply as set out in the table below:SubjectApplicable rule or guidanceGeneral requirementsSYSC 9.1.1AR6Specific requirements for insurance distributionSYSC 9.1.2AR, SYSC 9.1.2DRGuidance on record-keepingSYSC 9.1.2BG,6SYSC 9.1.4G, SYSC 9.1.5G, SYSC 9.1.6G, SYSC 9.1.6AG6
SYSC 1.4.2RRP
A contravention of a rule in SYSC 11 to 2SYSC 21,7SYSC 22.8.1R, SYSC 22.9.1R or SYSC 23 to9SYSC 288 does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action). 34437