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    2024-11-21

SYSC 28A.3 Record keeping requirements

Record keeping requirements

SYSC 28A.3.1R

1A firm must:

  1. (1)

    establish, maintain and keep appropriate records to demonstrate compliance with this chapter; and

  2. (2)

    be in a position to provide to the FCA, on request, the name of the person responsible for the record-keeping requirement in (1).

SYSC 28A.3.2 RR

1A firm must not prevent any person from obtaining a copy of the records relating to them which are maintained by the firm for the purposes of SYSC 28A.3.1R.

SYSC 28A.3.3G

1The rules specified in SYSC 28A.3.1R relate to the requirements specified in SYSC 5.1.1R, SYSC 9.1.1R and SYSC 10.1.6R.