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Status: You are viewing the version of the handbook as on 2012-12-13.

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]

SYSC 1.1A.1GRP

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

Insurer

Chapters 2, 3, 11 to 18, 213

Managing agent

Chapters 2, 3, 11, 12, 18, 213

Society

Chapters 2, 3, 12, 18, 213

Every other firm

Chapters 4 to 12, 18, 19A4, 213

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