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You are viewing the version of the document as on 2023-04-28.

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    2023-04-28

CONRED 4.9 Record-keeping requirements

CONRED 4.9.1R
  1. (1)

    1A firm must keep the following records:

    1. (a)

      evidence of posting for each letter sent in accordance with this chapter;

    2. (b)

      a copy of each letter sent in accordance with this chapter;

    3. (c)

      a record of any attempts to contact the consumer, contact any other relevant firm, or obtain further information, in accordance with CONRED 4.3.5R, CONRED 4.3.14R(1)(c) or (d) and CONRED 4.4.14R;

    4. (d)

      a copy of the Excel Spreadsheet containing the completed BSPS DBAAT or FCA DBAAT for each scheme case;

    5. (e)

      a record of the redress calculation performed by the BSPS calculator in Excel Spreadsheet format; and

    6. (f)

      all information on the consumer file and any information received from the consumer.

  2. (2)

    A firm must keep the records required by (1) for a minimum of 5 years from the date of their creation or (for the records in (1)(f)) the date when the information was included in the consumer file or obtained.