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You are viewing the version of the document as on 2024-12-10.

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    2024-12-10

SECN Sch 1 Recordkeeping requirements

SECN Sch 1.1G

1The guidance in this table aims to give the reader a quick overall view of the relevant record keeping requirements in SECN.

SECN Sch 1.2G

It is not a complete statement of those requirements and should not be relied on as if it were.

Handbook reference

Notifier

Matter to be notified

1SECN 2.5.1R

Originator and sponsor

STS notification

SECN 2.5.4R

Originator and sponsor

That a securitisation no longer meets STS criteria

SECN 9.5.4R(8)

Securitisation repository

That the information submitted to a securitisation repository is incomplete or inconsistent

That the securitisation repository has not received written confirmation from the reporting entity that all required information about the securitisation has been provided to the securitisation repository

SECN 9.6.9D(6)

Securitisation repository

Any planned material changes to the applicant’s information technology systems, before their implementation

SECN 9.6.22D(3)

Securitisation repository

Any breaches in the applicant’s physical and electronic security measures

Incident report, indicating the nature and details of the incident, the measures adopted to cope with the incident and the initiatives taken to prevent similar incidents