Related provisions for SYSC 10.2.4

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SYSC 3.2.8RRP
(1) A firm which carries on designated investment business with or for retail clients or professional clients8 must allocate to a director or senior manager the function of:8(a) having responsibility for oversight of the firm's compliance; and(b) reporting to the governing body in respect of that responsibility.1(2) In SYSC 3.2.8 R (1)10 (1) "compliance" means compliance with the rules in:(a) COBS8(Conduct of Business); 8(b) COLL (New Collective Investment Schemes) and CIS (Collective