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You are viewing the version of the document as on 2022-12-16.

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    2022-12-16

TC 3.1 Record-keeping requirements

TC 3.1.1 R RP

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