Related provisions for SYSC 7.1.4B

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SYSC 7.1.-2GRP

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
SYSC 7.1.2AGRP
3Other firms should take account of the risk management policies and procedures rule (SYSC 7.1.2 R) as if it were guidance (and as if should appeared in that rule19 instead of must) as explained in SYSC 1 Annex 1 3.3 R(1)19. 4
SYSC 7.1.7AGRP
3Other firms should take account of the risk management rules (SYSC 7.1.5 R to SYSC 7.1.7 R) as if they were guidance (and as if should appeared in those rules19 instead of must) as explained in SYSC 1 Annex 1 3.3 R(1)19. 4
COLL 5.2.20RRP
(1) A transaction in a derivative must:(a) be in an approved derivative; or(b) be one which complies with COLL 5.2.23 R (OTC transactions in derivatives).(2) The underlying of a transaction in a derivative must consist of any one or more of the following to which the scheme is dedicated:(a) transferable securities permitted under COLL 5.2.8 R (3)(a) to (c) and COLL 5.2.8 R (3)(e)7;(b) approved money-market instruments7 permitted underCOLL 5.2.8 R (3)(a) to COLL 5.2.8 R (3)(d)7;77(c)