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Common platform req's
Description
CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C5.2: The FCA Handbook) Mind Map on Common platform req's, created by Mark Varela on 23/05/2014.
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r01 - financial services, regulation, and ethics
c5.2: the fca handbook
cii - level 4 diploma
Mind Map by
Mark Varela
, updated more than 1 year ago
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Created by
Mark Varela
almost 10 years ago
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Resource summary
Common platform req's
Gen. organisational req's (SYSC 4)
Employees, agents & other relevant persons (SYSC 5)
Compliance, internal audit, & financial crime (SYSC 6)
Risk control (SYSC 7)
Outsourcing (SYSC 8)
Record keeping (SYSC 9)
Conflicts of interest (SYSC 10)
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