Requires a firm to establish, maintain and keep appropriate records to demonstrate its regulatory compliance. A firm must be able to provide the name of the person responsible for the record-keeping requirements.

Rule Overview

Jurisdiction: United Kingdom

Regulator: FCA

Topic: Recordkeeping

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Further Reading

A firm must:

  • make up-to-date records on continued professional training or development completed by relevant employees in each 12 month period;
  • retain this record for not less than three years;
  • provide the record to the FCA on request; and
  • not prevent the employee obtaining a copy of the records.
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