Rulestack

FCA PS · FCA

PS13/10: CRD IV for Investment Firms

Published
Read the official text on the FCA website(opens in a new tab)
AI-generated Summary

Final Handbook rules and guidance implementing CRD IV and the Capital Requirements Regulation for investment firms not supervised by the PRA, with feedback to CP13/6, CP13/9 and CP13/12.

Written from the Regulation Tomorrow post (Norton Rose Fulbright) that links this paper, not from the paper itself.

Details

ReferencePS13/10
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 4.3A.1R · Management body
    SYSC Senior Management Arrangements, Systems and Controls · in force from 3 Jan 2018
  • SYSC 4.3A.6R · Management body
    SYSC Senior Management Arrangements, Systems and Controls · in force from 1 Jan 2022
  • SYSC 5.1.7R · Segregation of functions
    SYSC Senior Management Arrangements, Systems and Controls · in force from 3 Jan 2018
  • SYSC 7.1.8G · Risk control: additional provisions
    SYSC Senior Management Arrangements, Systems and Controls · in force from 23 Oct 2025
  • SYSC 7.1.21R · Additional rules for CRR firms
    SYSC Senior Management Arrangements, Systems and Controls · in force from 23 Oct 2025
  • MAR 5.3.1R · Rules, procedures and arrangements
    MAR Market Conduct · in force from 3 Jan 2018

FCA Handbook references © FCA, used under the Open Government Licence v3.0. Rulestack is independent and not endorsed by the FCA.