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    2024-12-02

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. (1)

    the major sources of risk identified in accordance with PDCOB 13.8.4R; and

  2. (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.