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FCA SYSC 3.2

Itemizes the areas to be covered by a firm's systems and controls, including those related to compliance, financial crime and money laundering.

Rule Overview

Jurisdiction: United Kingdom

Regulator: FCA

Topic: Market Abuse

Overview
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The systems and controls established by a firm must be appropriate to its business.

SYSC 3.2.2 - 3.2.5
Organisation - including a prohibition on the contracting out of a firm's regulatory obligations
SYSC 3.2.6
Compliance, financial crime, money laundering - including the role of the MLRO
SYSC 3.2.7 - 3.2.9
Compliance function
SYSC 3.2.10
Risk assessment
SYSC 3.2.11A - 3.2.12
Management information
SYSC 3.2.13 - 3.2.14
Employees and agents
SYSC 3.2.15
Audit committee
SYSC 3.2.16
Internal audit
SYSC 3.2.17
Business strategy
SYSC 3.2.18
Remuneration policies
SYSC 3.2.19
Business continuity
SYSC 3.2.20 - 3.2.22
Records
SYSC 3.2.23
Investment strategy and decision making
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