Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2023-04-11.

competent employees rule

  1. (a) for an insurer, a managing agent and the Society208, SYSC 3.1.6R;20862
  2. (b) for a common platform firm, article 21(1)(d) of the MiFID Org Regulation that applies in accordance with SYSC 1 Annex 1 2.8R and SYSC 1 Annex 1 2.8AR;211208
  3. (ba) for a MiFID optional exemption firm and a third country firm, article 21(1)(d) of the MiFID Org Regulation that applies in accordance with SYSC 1 Annex 1 2.8R, SYSC 1 Annex 1 2.8AR and SYSC 1 Annex 1 3.2CR; and211
  4. (c) for every other firm, SYSC 5.1.1R (where it applies).208