Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  1. Point in time
    2006-07-07

SUP 13.11 Record keeping

SUP 13.11.1RRP
  1. (1)

    A UK firm which is exercising an EEA right must make and retain a record of:

    1. (a)

      the services or activities it carries on from a branch in, or provides cross-border into, another EEA State under that EEA right; and

    2. (b)

      the requisite details or relevant details relating to those services or activities (if applicable).

  2. (2)

    The record in (1) must be kept for three years from the earlier of the date on which:

    1. (a)

      it was superseded by a more up-to-date record; or

    2. (b)

      the UK firm ceased to have a branch in, or carry on cross border services into, any EEA State under an EEA right.

SUP 13.11.2GRP

The record in SUP 13.11.1 R need not relate to the level of business carried on. A UK firm may comply with SUP 13.11.1 R by, for example, keeping copies of all notices of intention and notices of changes of requisite details or relevant details.

SUP 13.11.3GRP

A UK firm should monitor the business carried on under an EEA right to ensure that any changes to requisite details or relevant details are notified as required by SUP 13.7 (Changes to cross border services).