Home FCA Handbook DISP DISP Sch 1
You are viewing DISP Sch 1 Record keeping requirements as of . DISP Sch 1 Record keeping requirements was last updated on 23/10/2025.

DISP Sch 1 Record keeping requirements

01/12/2004G
The aim of the guidance in the following table is to give the reader a quick overall view of the relevant record keeping requirements.
It is not a complete statement of those requirements and should not be relied on as if it were.
23/10/2025G
Handbook referenceSubject of recordContents of recordWhen record must be madeRetention period
DISP 1.1A.37RMiFID complaints subject to DISP 1.1A.Each MiFID complaint received and the complaint handling measures taken to address the MiFID complaint and for its resolutionNot specifiedNot specified
DISP 1.9.1 RComplaints subject to DISP 1.3 - DISP 1.8.Each complaint received and the measures taken for its resolutionFrom receipt5 years for complaints relating to collective portfolio management services and 3 years for all other complaints