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FCA CP · FCA

CP21/26: New uk prudential regime mifid investment firms

Closed 17 Sept 2021
Read the official text on the FCA website(opens in a new tab)

Summary pending.

Details

ReferenceCP21/26
IssuerFCA
Closing date17 Sept 2021 (Closing date as reported by Regulation Tomorrow)

FCA Handbook

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

  • SYSC 4.1.2R · General requirements
    SYSC Senior Management Arrangements, Systems and Controls · in force from 23 Oct 2025
  • SYSC 4.3A.6R · Management body
    SYSC Senior Management Arrangements, Systems and Controls · in force from 1 Jan 2022
  • SYSC 4.3A.8R · Nomination Committee
    SYSC Senior Management Arrangements, Systems and Controls · in force from 1 Jan 2022
  • SYSC 5.1.-2G · Application to a common platform firm
    SYSC Senior Management Arrangements, Systems and Controls · in force from 23 Oct 2025
  • SYSC 19G.5.3R · Identifying material risk takers
    SYSC Senior Management Arrangements, Systems and Controls · in force from 23 Oct 2025
  • SYSC Sch 2.1G
    SYSC Senior Management Arrangements, Systems and Controls · in force from 23 Oct 2025
  • SYSC Sch 5.4G
    SYSC Senior Management Arrangements, Systems and Controls · in force from 27 Feb 2026
  • MIFIDPRU 7.1.3R
    MIFIDPRU Prudential sourcebook for MiFID Investment Firms · in force from 23 Oct 2025
  • MIFIDPRU 7.2A.1R
    MIFIDPRU Prudential sourcebook for MiFID Investment Firms · in force from 23 Oct 2025

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