Related provisions for SYSC 8.1.-2

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

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
   22
   22
   22
   22

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
   [deleted]15	[deleted]15

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

9For 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 in the table below apply:

   Subject	Applicable rule or guidance
   Provision of services	SYSC 10.1.2G
   Identifying conflicts	SYSC 10.1.3R
   Types of conflicts	SYSC 10.1.5G
   Managing conflicts	SYSC 10.1.7R
   Conflicts policy	SYSC 10.1.12G

3. (3)

   SYSC 10.1.7AR (Proportionality – insurance distribution activities), SYSC 10.1.8R (Disclosure of conflicts) and SYSC 10.1.11ABR (Contents of policy) also apply in relation to the carrying on of insurance distribution activities.12

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
   6Specific requirements for insurance distribution	SYSC 9.1.2AR, SYSC 9.1.2CR8
   Guidance on record-keeping	SYSC 9.1.2BG,6SYSC 9.1.4G, SYSC 9.1.5G, SYSC 9.1.6G, SYSC 9.1.6AG6