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You are viewing the version of the document as on 2023-10-01.

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  3. Point in time
    2023-10-01

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