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SYSC 15A.3 Strategies, processes and systems

SYSC 15A.3.1R

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.3.2R

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.