Related provisions for CONC 11.1.9
1 - 13 of 13 items.
Where notice of cancellation has been served on a firm (or its appointed representative or agent), the firm must make and retain a record (which includes a copy of any receipt of notice issued to the consumer2 and the consumer's2 original notice instructions) for three years from the date when the firm first became aware that notice of cancellation had been served.22
The firm must make adequate records concerning the exercise of a right to cancel or withdraw and retain them:(1) indefinitely in relation to a pension transfer, pension opt-out or FSAVC;(2) for at least five years in relation to a life policy, pension contract, personal pension scheme,1stakeholder pension scheme or lifetime ISA1; and(3) for at least three years in any other case.
Schedule to the Recognition Requirements Regulations, paragraphs 3 – 3H4Paragraph 3 – Systems and controls4(1)The [UK RIE] must ensure that the systems and controls, including procedures and arrangements,4 used in the performance of its functions and the functions of the trading venues it operates are adequate, effective4 and appropriate for the scale and nature of its business.(2)Sub-paragraph (1) applies in particular to systems and controls concerning - (a)the transmission
A firm must:(1) arrange for records to be kept to enable it to meet MAR 7A.3.7R; and(2) (where it engages in a high-frequency algorithmic trading technique2) store, in the approved form, accurate and time-sequenced records of all its placed orders, including: (a) cancelled orders; (b) executed orders; and (c) quotations on trading venues. [Note: article 17(2) of MiFID and MiFID RTS 6 specifying the format and content of the approved form referred to in MAR 7A.3.8R(2), and