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    2005-07-01

SYSC 3A.3 Other related Handbook sections

SYSC 3A.3.1G

The 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)

    PRU 1.4 and PRU 6.1 contain specific rules and guidance for the establishment and maintenance of operational risk systems and controls in a prudential context.

  2. (2)

    COB contains rules and guidance that can relate to the management of operational risk, for example, COB 2 (Rules which apply to all firms conducting designated investment business), COB 3 (Financial promotion), COB 5 (Advising and selling) and COB 7 (Dealing and managing).