Related provisions for SYSC 4.1.10
1 - 3 of 3 items.
A common platform firm and a management company6 must monitor and, on a regular basis, evaluate the adequacy and effectiveness of its systems, internal control mechanisms and arrangements established in accordance with this chapter, and take appropriate measures to address any deficiencies.[Note:article 5(5) of the MiFID implementing Directive and articles 4(5) of the UCITS implementing Directive]6