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

  2. Point in time
    2020-12-13

TC 3.1 Record-keeping requirements

TC 3.1.1RRP

1A firm must make appropriate records to demonstrate compliance with the rules in this sourcebook and keep them for the following periods after an employee stops carrying on the activity:

  1. (1)

    at least 5 years for MiFID business;

  2. (2)

    3 years for non-MiFID business; and

  3. (3)

    indefinitely for a pension transfer specialist.

[Note: article 9(4) of the MCD]2