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You are viewing the version of the document as on 2021-06-02.

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    2021-06-02

SYSC 23.1 Purpose

SYSC 23.1.1G

1The purpose of this chapter is to:

  1. (1)

    explain what the senior managers and certification regime is and where to find the main FCA Handbook provisions;

  2. (2)

    define which firms the regime applies to; 2

  3. (3)

    define the different kinds of SMCR firm; and2

  4. (4)

    require certain firms to carry out criminal record checks before appointing certain board directors. 2