SYSC 1.1A Application
[Note: ESMA has also issued guidelines under article 16(3) of the ESMA Regulation covering various topics relating to automated trading and direct electronic access. See http://www.fsa.gov.uk/static/pubs/other/esma-guidelines.pdf]
1The application of this sourcebook is summarised at a high level in the following table. The detailed application is cut back in SYSC 1 Annex 1 and in the text of each chapter.
Type of firm |
Applicable chapters |
Chapters 2, 3, 11 to 18, 213 |
|
Chapters 2, 3, 11, 12, 18, 213 |
|
Chapters 2, 3, 12, 18, 213 |
|
Every other firm |
Chapters 4 to 12, 18, 19A4, 213 24 |