Related links

PS7/15 - The PRA Rulebook: Part 2 https://www.bankofengland.co.uk/prudential-regulation/publication/2014/the-pra-rulebook-part-2
Admin Instrument (No 2) 2015 - PRA Rulebook: Administration Instrument (No 2) 2015 https://www.bankofengland.co.uk/prudential-regulation/publication/2015/pra-rulebook-administration-instrument-no-2-2015
PS24/15 - "Whistleblowing in deposit-takers, PRA-designated investment firms and insurers" https://www.bankofengland.co.uk/prudential-regulation/publication/2015/whistleblowing-in-deposit-takers-pra-designated-investment-firms-and-insurers
PS28/15 - The PRA Rulebook: Part 4 and response to Chapter 1 of CP41/15 https://www.bankofengland.co.uk/prudential-regulation/publication/2015/the-pra-rulebook-part-4
PS5/16 - Strengthening accountability in banking and insurance: Implementation of SM&CR and SIMR https://www.bankofengland.co.uk/prudential-regulation/publication/2016/strengthening-accountability-in-banking-and-insurance-implementation-of-sm-cr-and-simr
ESMA: Guidelines on certain aspects of the MiFID compliance function requirements https://www.esma.europa.eu/sites/default/files/library/2015/11/2012-388_en.pdf
Delegated Regulation (EU) 2017/565 supplementing MiFID II on organisational requirements and operating conditions for investment firms http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv%3AOJ.L_.2017.087.01.0001.01.ENG

Chapters

  • 1 Application and Definitions
  • 2 General Requirements
  • 2A Whistleblowing
  • 3 Persons Who Effectively Direct the Business
  • 4 Responsibility of Senior Personnel
  • 5 Management Body
  • 6 Nomination Committee
  • 7 Group Arrangements