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FCA CP · FCA

CP13/9: Quarterly Consultation Paper No. 2

Published
Read the official text on the FCA website(opens in a new tab)

Summary pending.

Details

ReferenceCP13/9
IssuerFCA
PublishedDate pending: it is added once checked on the FCA’s page

FCA Handbook

Handbook provisions the Handbook lists against this paper (only those linked to MiFID II or MiFIR material are shown).

  • SYSC 4.1.1R · General requirements
    SYSC Senior Management Arrangements, Systems and Controls · in force from 3 Jan 2018
  • SYSC 4.1.2R · General requirements
    SYSC Senior Management Arrangements, Systems and Controls · in force from 23 Oct 2025
  • SYSC 4.2.1R · General requirement
    SYSC Senior Management Arrangements, Systems and Controls · in force from 1 Jan 2021
  • SYSC 4.2.2R · Composition of management
    SYSC Senior Management Arrangements, Systems and Controls · in force from 1 Jan 2021
  • SYSC 4.2.6R · Alternative arrangements
    SYSC Senior Management Arrangements, Systems and Controls · in force from 3 Jan 2018
  • SYSC 5.1.7R · Segregation of functions
    SYSC Senior Management Arrangements, Systems and Controls · in force from 3 Jan 2018
  • COBS 1 Annex 1
    COBS Conduct of Business Sourcebook · in force from 6 Apr 2026
  • COBS 2.1.1R · The client's best interests rule
    COBS Conduct of Business Sourcebook · in force from 1 Jan 2021
  • COBS Sch 1.3G
    COBS Conduct of Business Sourcebook · in force from 25 Sept 2026
  • MAR 5.3.1R · Rules, procedures and arrangements
    MAR Market Conduct · in force from 3 Jan 2018

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