Related provisions for COLL 6.9.8

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ICOBS 6.1.12BGRP
4A firm should have regard to the record-keeping obligations referred to in ICOBS 2.4.1G and ensure that it has appropriate systems and controls in place with respect to: (a) the adequacy of its records so it may fulfil its regulatory and statutory obligations; and(b) the sufficiency of its records to enable the FCA to monitor the firm’s compliance with the requirements under the regulatory system.
SYSC 1.4.2RRP
A contravention of a rule in SYSC 11 to 2SYSC 21,7SYSC 22.8.1R or SYSC 22.9.1R7 does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action). 3443