Regulations & laws
Financial Conduct Authority (FCA) Senior Management Arrangements, Systems and Controls Sourcebook (SYSC) Sch 1
The FCA’s Senior Management Arrangements, Systems and Controls Sourcebook (SYSC) was created to encourage firms to vest responsibility for effective and responsible organizations and to create a common platform for organizational and system controls requirements for all firms.
A big component of the SYSC Sourcebook is recordkeeping requirements for records such as conflict of interest records, client communications, business and internal organizational records.
- Link to FCA’s table of recordkeeping requirements found in SYSC: www.handbook.fca.org.uk/handbook/SYSC/Sch/1.pdf
- Link to SYSC Handbook: www.handbook.fca.org.uk/handbook/SYSC.pdf
LS Consultancy assumes no liability for the accuracy or completeness of this information. Please refer to the applicable regulators website for specific information on specific rules and regulations and how they apply to your business.
Regulations & laws⬑ Return to Compliance Support page
At LS Consultancy, we offer a complete solution with a range of cost effective, regulatory compliance services which are uniquely suited to supporting firms.
Call us today on 020 8087 2377 or email email@example.com
Why Not Download our FREE Brochures! Click here.