TC Sch 1 Record keeping requirements
3TC 3.1.1 R provides: |
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A 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: |
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(1) |
at least 5 years for MiFID business; |
(2) |
3 years for non-MiFID business; and |
(3) |
indefinitely for a pension transfer specialist. |