DISP Sch 1 Record keeping requirements
The aim of the guidance in the following table is to give the reader a quick overall view of the relevant record keeping requirements. |
It is not a complete statement of those requirements and should not be relied on as if it were. |
Handbook reference |
Subject of record |
Contents of record |
When record must be made |
Retention period |
| 5 | MiFID complaints subject to DISP 1.1A. |
Each MiFID complaint received and the complaint handling measures taken to address the MiFID complaint and for its resolution [Note:6 see article 26(1), article 72, and Annex 1 of the MiFID Org Regulation] |
Not specified [Note:6 see article 26(1), article 72 and Annex 1 of the MiFID Org Regulation]6 |
Not specified [Note:6 see article 72 of the MiFID Org Regulation]6 |
| 27 | Complaints1 subject to DISP 1.3 - DISP 1.8. 112714 |
Each complaint received and the measures taken for its resolution1 1 |
From5 receipt |
5 years for complaints relating to5 collective portfolio management services 3and 13 years for all other complaints1 |