A firm must make a record of the form of each notice provided and each agreement entered into under this chapter. This record must be made at the time that standard form is first used and retained for the relevant period after the firm ceases to carry on business with clients who were provided with that form.
the categorisation established for the client under this chapter, including sufficient information to support that categorisation;
evidence of despatch to the client of any notice required under this chapter and if such notice differs from the relevant standard form, a copy of the actual notice provided; and
a copy of any agreement entered into with the client under this chapter.
The relevant periods are:
Status: You are viewing the version of the handbook as on 2019-02-22.