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SYSC 15A
SYSC 15A.3 Strategies, processes and systems

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SYSC 15A.3 Strategies, processes and systems

SYSC 15A.3.1R31/03/2022

1A firm must have in place sound, effective and comprehensive strategies, processes and systems to enable it to comply with its obligations under this chapter.

SYSC 15A.3.2R31/03/2022

1The strategies, processes and systems required under SYSC 15A.3.1R must be comprehensive and proportionate to the nature, scale and complexity of the firm’s activities.

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