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Contents > FSAHandbook SYSC: 3.2 Areas...
Page last published: 17 January 2012

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Financial Services Authority
FSA Handbook of Rules and Guidance
Block 1       HIGH-LEVEL STANDARDS
SYSC          SENIOR MANAGEMENT ARRANGEMENTS, SYSTEMS AND CONTROLS
SYSC 3       SYSTEMS AND CONTROLS
SYSC 3.2    Areas covered by systems and controls

Made 21 June 2001 Commencement: 1 December 2001

Introduction

3.2.1 G This section covers some of the main issues which a firm is expected to consider in establishing and maintaining the systems and controls appropriate to its business, as required by SYSC 3.1.1R.

Organisation

3.2.2 G A firm's reporting lines should be clear and appropriate having regard to the nature, scale and complexity of its business. These reporting lines, together with clear managemen

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