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    2007-03-06

SYSC 13.3 Other related Handbook sections

SYSC 13.3.1G

The following is a non-exhaustive list of rules and guidance in the Handbook that are relevant to a firm's management of operational risk:

  1. (1)

    SYSC 14 and INSPRU 5.1 contain specific rules and guidance for the establishment and maintenance of operational risk systems and controls in a prudential context.

  2. (2)

    COB contains rules and guidance that can relate to the management of operational risk; for example, COB 2 (Rules which apply to all firms conducting designated investment business), COB 3 (Financial promotion), COB 5 (Advising and selling), COB 7 (Dealing and managing) and COB 9 (Client assets).