Related provisions for SYSC 10.2.4

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

(1) A firm which carries on designated investment business with or for retail clients or professional clients8 and a UK ISPV which carries on insurance risk transformation with respect to long-term insurance contracts18 must allocate to a director or senior manager the function of:8(a) having responsibility for oversight of the firm's compliance; and(b) reporting to the governing body in respect of that responsibility.1(2) In 10 (1) "compliance" means compliance with the rules