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You are viewing the version of the document as on 2023-04-28.

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    2023-04-28

SYSC 27.1 Application and purpose

Application

SYSC 27.1.1R

1This chapter applies to an SMCR firm, except those excluded from this chapter by SYSC 27.6 (Other exclusions)2.

SYSC 27.1.2G

1This chapter is also relevant to employees of SMCR firms performing functions specified as FCA certification functions.

Purpose

SYSC 27.1.3G
  1. (1)

    1This chapter is about the FCA’s certification regime.

  2. (2)

    Under this regime, a firm should ensure that its employees only perform an FCA certification function if they have a certificate issued by that firm to perform that function.

  3. (3)

    The purpose of this chapter is to specify ‘FCA certification functions’ and to give guidance on the FCA’s certification regime.