SUP Sch 1 Record keeping requirements

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 4.3.17 R (3)

[FCA] [PRA]

Data for actuary (or actuaries appointed under SUP 4 (Actuaries)

Such data as the actuary (or actuaries) appointed under SUP 4 (Actuaries) reasonably require

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 agents6

If a MiFID investment firm appoints an FCA registered tied agent6 the record keeping requirements in SUP 12.9 applies to that firm as though the FCA registered tied agent6 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

6

6

(2) The details relating to those services or activities (as set out in SUP 13.6 and SUP 13.7).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 FCA8.

Not specified

Not specified