Related provisions for SYSC 4.5.14

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SYSC 4.5.4RRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.2.1R]3
SYSC 4.5.5RRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.2.2R]3
SYSC 4.5.6GRP
(1) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.1.6G(1)]3(2) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.1.6G(2)]3
SYSC 4.5.7RRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.2.3R]3
SYSC 4.5.9GRP
(1) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.4.1G]3(2) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.4.2G]3
SYSC 4.5.10GRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.4.3G]3
SYSC 4.5.11GRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.4.4G]3
SYSC 4.5.12GRP
(1) [deleted] 33(2) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.4.5G]3(3) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.4.6G]3(4) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.4.7G]3(5) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.4.8G]3(6) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.4.11G]3(7) [deleted] [Editor’s
SYSC 4.5.13GRP
(1) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.4.14G(1)]3(2) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 24.3.5G]3
SYSC 4.5.15GRP
(1) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.5.2G(1)]3(2) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.5.2G(2)]3(3) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.5.2G(3)]3(4) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.5.2G(4)]3(5) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.5.3G]3
SYSC 4.5.16GRP
(1) [deleted] 33(2) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.7.2G(1)]3(3) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.7.2G(1)]3(4) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.7.4G]3(5) [deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.7.3G]33
SYSC 4.5.21GRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.8.1G]3
SYSC 4.5.22GRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.8.2G]3
SYSC 4.6.14GRP

[deleted] 3

SYSC 4.6.15RRP
[deleted] 3
SYSC 4.6.28GRP
[deleted] 3
CREDS 2.2.22GRP
Documentation should not be restricted to "lower level" controls applied in processing transactions, but should also cover "high level" controls including:(1) identifying those powers to be exercised only by the governing body5, and the powers delegated to others;(2) the purpose, composition and reporting lines of sub-committees, and senior managers to whom responsibilities are delegated;(3) the specific roles and responsibilities of individual officers;(4) the timing, form and
CREDS 2.2.56GRP
The planning system should be defined clearly, documented appropriately, and planning related tasks and decision-making responsibilities allocated clearly within the credit union.
SYSC 4.8.9RRP

[deleted] 5

SYSC 2.2.1RRP
(1) A firm must make a record of the arrangements it has made to satisfy SYSC 2.1.1 R (apportionment)3 and take reasonable care to keep this up to date.(2) This record must be retained for six years from the date on which it was superseded by a more up-to-date record.
SYSC 2.2.2GRP
(1) A firm will be able to comply with SYSC 2.2.1 R by means of records which it keeps for its own purposes provided these records satisfy the requirements of SYSC 2.2.1 R and provided the firm takes reasonable care to keep them up to date. Appropriate records might, for this purpose, include organisational charts and diagrams, project management documents, job descriptions, committee constitutions and terms of reference provided they show a clear description of the firm's major functions.(2)
SYSC 2.2.4RRP
[deleted]3
SYSC 2.2.5GRP
[deleted]31
COCON 4.2.20GRP
Senior conduct rules staff members will not always manage the business on a day-to-day basis themselves. The extent to which they do so will depend on a number of factors, including the nature, scale and complexity of the business and their position within it. The larger and more complex the business, the greater the need for clear and effective delegation and reporting lines, which may involve documenting the scope of that delegation and the reporting lines in writing. The FCA
SYSC 4.9.7GRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.9.7G]3
SYSC 4.9.8GRP
[deleted] [Editor’s note: The text of this provision has been moved to SYSC 25.9.8G]3
CASS 11.3.6RRP
(1) Subject to (2), a CASS debt management firm must make and retain an appropriate record of the person to whom responsibility is allocated in accordance with, as applicable, CASS 11.3.1 R, CASS 11.3.2 R, and CASS 11.3.4 R.(2) A CASS small debt management firm must make and retain such a record only where it allocates responsibility to a person other than the person in that firm who performs the compliance oversight function.(3) A CASS debt management firm must ensure that a
CASS 1A.3.3RRP
(1) Subject to (2), a firm must make and retain an appropriate record of the person to whom responsibility is allocated in accordance with CASS 1A.3.1 R, CASS 1A.3.1A R or CASS 1A.3.1C R (2)2.1(2) A CASS small firm must make and retain such a record only where it allocates responsibility to a person other than the person in that firm who performs the compliance oversight function.(3) A firm must ensure that the record made under this rule is retained for a period of five years
LR 8.6.12RRP
8A sponsor or a person applying for approval as a sponsor will not satisfy LR 8.6.5R (3) unless it has in place:(1) clear and effective reporting lines for the provision of sponsor services (including clear and effective management responsibilities);(1A) effective systems and controls which require employees with management responsibilities for the provision of sponsor services to understand and apply the requirements of LR 8; (2) effective systems and controls for the appropriate
CASS 10.2.1RRP
A firm must include within its CASS resolution pack:(1) a master document containing information sufficient to retrieve each document in the firm'sCASS resolution pack;(2) a document which identifies the institutions the firm has appointed (including through an appointed representative, tied agent, field representative or other agent):(a) in the case of client money, for the placement of money in accordance with CASS 7.13.3 R1 or to hold client money in accordance with CASS 7.14.2
SYSC 4 Annex 1GRP

[Editor’s note: The text of this provision has been moved to SYSC 25 Annex 1G]4

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