SUP Sch 1 Record keeping requirements

SUP Sch 1.1G01/12/2004

1The aim of the guidance in the following table is to give the reader a quick overall view of the relevant record keeping requirements.

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

SUP Sch 1.2G08/12/2022

Handbook reference	Subject of record	Contents of record	When record must be made	Retention period
SUP 4.3.17 R (3) [FCA] [PRA]	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
7SUP 12.6A.4R	Appointed representatives	Written record of each review	Following each review undertaken for the purposes of SUP 12.6A.2R or SUP 12.6A.3R	6 years from date of review
7SUP 12.6A.8R	Appointed representatives	Copy of each approved self-assessment document	Following approval by the firm’s governing body	6 years from date of approval
SUP 12.9.1 R, SUP 12.9.2 R,5 [FCA] [PRA]	Appointed representatives	(1) Appointed representative's name	On appointment, amendment of contract or termination of contract	3 years from termination or amendment of the contract, other than in respect of tied agents when period is five years.5
5SUP 12.9.5 R [FCA] [PRA]	FCA registered tied agents 6	If a MiFID investment firm appoints an FCA registered tied agent 6 the record keeping requirements in SUP 12.9 applies to that firm as though the FCA registered tied agent 6 were an appointed representative.
		(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)
		(3) Date and reason for terminating or amending the contract
		(4) arrangements agreed with other principals under SUP 12.4.5B R2
6	6	6	6	6
				6
6	6	6 4	6	6 4 4
		(2) The details relating to those services or activities (as set out in SUP 13.6 and SUP 13.7).4 4		(2) firm ceasing to have any EEA branches or cross- border services.
SUP 16.8.23 R [FCA] [PRA]	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 FCA 8. 8	Not specified	Not specified

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SUP Sch 1 Record keeping requirements