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Financial Services Law, 4th Edition edited by Walker, George; Purves, Robert (8th March 2018)

Part II Financial Services Regulation, 14 Money Laundering and Financial Crime, Appendix I Financial Conduct Authority Handbook (Extracts)

George Walker, Robert Purves, Michael Blair

From: Financial Services Law (4th Edition)

Edited By: Professor George Walker, Robert Purves

From: Oxford Legal Research Library (http://olrl.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber: null; date: 15 November 2019

(p. 630) Appendix I  Financial Conduct Authority Handbook (Extracts)

Senior Management Arrangements, Systems and Controls 1 Annex 1

Who?

1.1 R. ….

  1. (3)  for an incoming Treaty firm which has permission only for cross border services and which does not carry on regulated activities in the United Kingdom, SYSC 3.2.6AR to SYSC 3.2.6JG do not apply;

  2. (4)  for a sole trader:

    1. (a)  SYSC 2 applies but only if he employs any person who is required to be approved under section 59 of the Act (Approval for particular arrangements);