Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  4. Point in time
    2019-02-13

SYSC 13.3 Other related Handbook sections

SYSC 13.3.1G

[deleted]3

SYSC 13.3.1AGRP

3The 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)

    COBS contains rules and guidance that can relate to the management of operational risk; for example, COBS 2 (Conduct of business obligations), COBS 4 (Communicating with clients, including financial promotions), COBS 6 (Information about the firm, its services and remuneration), COBS 7 (Insurance distribution2), COBS 9 (Suitability (including basic advice)(other than MiFID and insurance-based investment products)2), COBS 9A (Suitability (MiFID and insurance-based investment products provisions), COBS 10A (Appropriateness (for non-advised services) (MiFID and insurance-based investment products provisions),2 COBS 11 (Dealing and managing), COBS 12 (Investment research), COBS 14 (Providing product information to clients) and COBS 19 (Pensions: supplementary provisions).