Related provisions for SYSC 10.1.-2

7For a common platform firm:

1. (1)

   the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and

2. (2)

   the rules and guidance apply as set out in the table below:

   Subject	Applicable rule or guidance
   General requirements	SYSC 8.1.1R, SYSC 8.1.2G, SYSC 8.1.3G, SYSC 8.1.12G

21For a common platform firm:

1. (1)

   the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and

2. (2)

   the rules and guidance apply as set out in the table below:

   Subject	Applicable rule or guidance
   General requirements	SYSC 4.1.1R, SYSC 4.1.1CR, SYSC 4.1.2R, SYSC 4.1.2AAR
   Business continuity	SYSC 4.1.6R, SYSC 4.1.7R, SYSC 4.1.8G
   Audit committee	SYSC 4.1.11G, SYSC 4.1.13G, SYSC 4.1.14G
   Persons who effectively direct the business	SYSC 4.2.1R, SYSC 4.2.2R, SYSC 4.2.3G, SYSC 4.2.4G, SYSC 4.2.5G, SYSC 4.2.6R
   Responsibility of senior personnel	SYSC 4.3.3G
   Management body	SYSC 4.3A.-1R to SYSC 4.3A.7R
   Nominations committee	SYSC 4.3A.8R to SYSC 4.3A.11R
   Management responsibilities maps for UK relevant authorised persons	SYSC 4.5
   Management responsibilities maps for non-UK relevant authorised persons	SYSC 4.6
   Senior management responsibilities for UK relevant authorised persons	SYSC 4.7
   Handover procedures and material	SYSC 4.9

16For a common platform firm:

1. (1)

   the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and

2. (2)

   the rules and guidance apply as set out in the table below:

   Subject	Applicable rule or guidance
   Adequate policy and procedures	SYSC 6.1.1R, SYSC 6.1.1AG
   Compliance function	SYSC 6.1.4-AG, SYSC 6.1.7R
   Internal audit	SYSC 6.2.2G
   Financial crime	SYSC 6.3.1R to SYSC 6.3.11G

10For a common platform firm:

1. (1)

   the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and

2. (2)

   the rules and guidance apply as set out in the table below:

   Subject	Applicable rule or guidance
   Competent employees rule, knowledge and competence and segregation11 of functions	SYSC 5.1.2G to SYSC 5.1.5AG, SYSC 5.1.5AAR, SYSC 5.1.5ABR, SYSC 5.1.5ACG to SYSC 5.1.5AEG,11SYSC 5.1.7R, SYSC 5.1.8G to SYSC 5.1.11G
   Certification regime	SYSC 5.2

19For a common platform firm:

1. (1)

   the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and

2. (2)

   the rules and guidance apply as set out in the table below:

   Subject	Applicable rule or guidance
   Risk assessment	SYSC 7.1.1G
   Risk management	SYSC 7.1.4R, SYSC 7.1.4AG
   Risk control: remuneration	SYSC 7.1.7BG, SYSC 7.1.7BBG
   Risk control: additional provisions	SYSC 7.1.7CG, SYSC 7.1.8G, SYSC 7.1.9R to SYSC 7.1.16R
   Additional rules for CCR firms	SYSC 7.1.16CR to SYSC 7.1.22R

5For a common platform firm:

1. (1)

   the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and

2. (2)

   the rules and guidance apply as set out in the table below:

   Subject	Applicable rule or guidance
   General requirements	SYSC 9.1.1AR
   Guidance on record-keeping	SYSC 9.1.4G, SYSC 9.1.5G, SYSC 9.1.6G