FCA SYSC 6.1
Requires a firm to implement adequate policies and procedures sufficient to ensure compliance by the firm and its staff with it regulatory obligations as well as preventing the firm being used to further financial crime.
Overview
Latest News
Further Reading
Latest News
More on SYSC 6.1.1R
-
Tackling market abuse: Blocking threats for brokers
With brokers still struggling with their trade surveillance obligations, here are some common issues to consider when monitoring market abuse.
-
Organised crime active in equity markets according to the FCA
The regulator draws attention to the risks with the release of this guidance, coinciding with arrests in London.
Further Reading
