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  1. Point in time
    2007-03-21

COB 11.7 Record Keeping

COB 11.7.1R
  1. (1)

    A firm must make a record of any written delegation to a PTP under COB 11.6.1 R (1) and of the PTP's undertaking under COB 11.6.1 R (2) and of any variation of those documents.

  2. (2)

    A record in (1) must be retained for a period ending three years after the date on which the PTP's appointment ceases.

COB 11.7.2G

COB 11.7.1 R obliges a trustee firm to keep records of any variations in the terms of the agreement occurring during the period of the PTP's appointment for three years from the date at which the appointment ends.