PDCOB 16.12 Specific record-keeping requirements: prudential requirements
PDCOB 16.12.1R
1A firm must make a written record of the assessments required under PDCOB 13.8.4R. In particular, it must make a written record of:
- (1)
the major sources of risk identified in accordance with PDCOB 13.8.4R; and
- (2)
how it intends to deal with those risks.
PDCOB 16.12.2R
1A firm must retain the records of its assessments referred to in PDCOB 16.12.1R for at least 3 years.