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MIFIDPRU Sch 1 Record-keeping requirements

G

1MIFIDPRU Sch 1.1 G

(1) The aim of the guidance in the following table is to provide an overview of the relevant record keeping requirements in MIFIDPRU.

(2) 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

MIFIDPRU 4.7.5R

Currency conversion rate

The market rate chosen to convert AUM amounts in foreign currencies into the firm’s functional currency

At the time of the relevant measurement

Not specified

MIFIDPRU 4.10.19R(3)(b)

Currency conversion rate

The market rate chosen to convert COH amounts in foreign currencies into the firm’s functional currency

At the time of the relevant measurement

Not specified

MIFIDPRU 4.10.23R(4)

Basis on which firm has applied the alternative approach in MIFIDPRU 4.10.23R to determine the value of an order when measuring COH

The basis in MIFIDPRU 4.10.23R(3) on which the firm is applying the alternative approach in MIFIDPRU 4.10.23R to determine the value of an order when measuring COH

At the time that the firm decides to apply the alternative approach

Not specified

MIFIDPRU 4.15.4R

Currency conversion rate

The market rate chosen to convert DTF amounts in foreign currencies into the firm’s functional currency

At the time of the relevant measurement

Not specified

MIFIDPRU 7.1.7R(4)

Currency conversion rate

The market rate chosen to convert the value of amounts in foreign currencies into pounds sterling for the purposes of determining the application of certain governance requirements under MIFIDPRU 7

At the time of the relevant measurement

Not specified

MIFIDPRU 7.8.10R

ICARA document approval

The firm’s ICARA document and records of the governing body review and approval under MIFIDPRU 7.8.8R

At the time that the governing body approves the ICARA document under MIFIDPRU 7.8.8R

3 years from the date on which the governing body gave its approval under MIFIDPRU 7.8.8R

1MIFIDPRU Sch 1.2 G

MIFIDPRU investment firms are also reminded of the general record keeping obligations that apply under SYSC 9 (Record keeping).