FSA (UK) published in May 2006 a consultation paper CP 06/9 Organisational systems and controls (SYSC) regarding a common platform for firms to comply with commensurate provisions in CRD (Capital Requirements Directive) and in MiFID. CP 06/9 covers MiFID issues such as Organisational Requirements, Employees, Agents, Compliance, Internal Audit, Risk Control, Outsourcing, Record Keeping and Conflicts of Interest.
A joint industry response from LIBA and other UK trade associations was submitted 2006-09-19
0 Responses to “FSA (UK) CP 06/9 Organisational systems and controls (SYSC)”