You are viewing CRYPTO 3.10 Record keeping as it appeared on 25/10/2027. The current version of CRYPTO 3.10 Record keeping was last updated on 25/10/2027.

CRYPTO 3.10 Record keeping

25/10/2027G

The rules in this section are in addition to any other FCA rules relating to record keeping to which a UK QCATP operator is subject.

25/10/2027R

A UK QCATP operator must make and keep records evidencing its compliance with this chapter, which, if it is a retail UK QCATP operator, must include records of:

  1. (1) assessments carried out for the purposes of CRYPTO 3.2.1R, including (where relevant) information it could not obtain or verify for the purposes of those assessments;
  2. (2) decisions made for the purposes of CRYPTO 3.2.1R, including the reasons for making those decisions;
  3. (3) the admission criteria for a retail UK QCATP established to comply with CRYPTO 3.2.5R;
  4. (4) measures put in place to comply with CRYPTO 3.2.8R and (where relevant) the specific measures implemented for the purposes of that rule when assessments have been carried out to comply with CRYPTO 3.2.1R;
  5. (5) assessments of QCDDs and supplementary disclosure documents carried out to comply with CRYPTO 3.3.1R and CRYPTO 3.3.4R; and
  6. (6) decisions made for the purposes of CRYPTO 3.3.1R and CRYPTO 3.3.4R relating to the publication of a QCDD or supplementary disclosure document, including the reasons for making those decisions.
25/10/2027R

A record made and kept by a UK QCATP operator in accordance with CRYPTO 3.10.2R must be:

  1. (1) provided by the UK QCATP operator to the FCA upon request; and
  2. (2) kept for a period of 5 years or, where requested by the FCA, for a period of up to 7 years.
Point In Time
25/10/2027