Related provisions for ICOBS 5.3.2B

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COBS 10.7.1GRP
A1firm is required to keep orderly records of its business and internal organisation, including all services and transactions undertaken by it.1 The records may be expected to include the client information a firm obtains to assess appropriateness and should be adequate to indicate what the assessment was. 11
COBS 10.7.2RRP
The firm must retain its records relating to appropriateness for a minimum of five years.
REC 2.1.4GRP
Location of recognition requirements and guidanceRecognition Requirements RegulationsSubjectSection in REC 2Regulation 6Method of satisfying recognition requirements2.2Part I of the ScheduleUK RIE recognition requirementsParagraph 1Financial resources2.3Paragraph 2Suitability2.4Paragraph 3Systems and controls2.5Paragraphs 4(1) and 4(2)(aa)22General safeguards for investors 2.6Paragraph 4(2)(a)Access to facilities2.7Paragraph 4(2)(b)Proper markets2.12Paragraph 4(2)(c)Availability