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    2022-04-27

TC Sch 1 Record keeping requirements

TC Sch - 1.1G

5TC 2.1.24 R provides:

A firm must, for the purposes of TC 3.1.1 R (Record keeping), make and retain records of:

(1)

the continuing professional development completed by each retail investment adviser ; and

(2)

the dates of and reasons for any suspension of the continuing professional development requirements under TC 2.1.17 R .
TC Sch 1.1G

3TC 3.1.1 R provides:

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:

(1)

at least 5 years for MiFID business;

(2)

3 years for non-MiFID business; and

(3)

indefinitely for a pension transfer specialist.