Related provisions for COBS 9.6.13

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COBS 15.1.1GRP
1This chapter is relevant to a firm that enters into a contract cancellable under this chapter. In summary, this means it is relevant to:(1) most providers of retail financial products that are based on designated investments; and2(2) firms that enter into distance contracts with consumers that relate to designated investment business; and32(3) firms that enter into distance contracts the making or performance of which by the firm constitutes, or is part of, the activity of issuing
TC 3.1.1RRP
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) at least 5 years for MiFID business;(2) 3 years for non-MiFID business; and(3) indefinitely for a pension transfer specialist.