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You are viewing the version of the document as on 2021-11-03.

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    2021-11-03

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