SUP Sch 1 Record keeping requirements
Handbook reference |
Subject of record |
Contents of record |
When record must be made |
Retention period |
Data for actuary (or actuaries appointed under SUP 4 (Actuaries) 3 |
Such data as the actuary (or actuaries) appointed under SUP 4 (Actuaries) reasonably require 3 |
Not specified |
Not specified |
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(1) Appointed representative's name |
On appointment, amendment of contract or termination of contract |
3 years from termination or amendment of the contract |
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(2) Copy of the original contract with the appointed representative and any subsequent amendments to it (including details of any restrictions placed on the activities which the appointed representative may carry on) |
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(3) Date and reason for terminating or amending the contract |
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(4) arrangements agreed with other principals under SUP 12.4.5B R2 |
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(a) the services or activities it carries on from a branch in, or provide cross border services into, another EEA State under that EEA right; and the requisite details or relevant details relating to those services or activities (if applicable) |
Not specified |
Three years from the earlier of the date on which:(a) it was superseded by a more up-to-date record; or |
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(a) the UK firm ceased to have a branch in, or carry cross border services into, any EEA State under an EEA right |
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Exercise of passport rights by UK firms |
(1) Services or activities carried on from a branch in, or cross-border into, another EEA State under an EEA right |
Not specified |
Three years from earlier of:(1) record being superseded; |
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(2) The requisite details or relevant details (if applicable) |
(2) firm ceasing to have any EEA branches or cross- border services. |
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Persistency reports and data reports |
Records to enable the firm to monitor regularly the persistency of life policies and stakeholder pensions effected through each of its representatives and make the required reports to the FSA. |
Not specified |
Not specified |