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Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

You are viewing the version of the document as on 2012-12-13.

Status: In this content, we have included all amendments made by EU exit-related instruments up to end September 2020. There will be more amendments to be made later this year, further to the September QCP.

COMP Sch 1 Record-keeping requirements

COMP Sch 1.1G

1.

The aim of the guidance in the following able is to give the reader a quick overall view of the relevant record keeping requirements. The Rules listed below apply only to FSCS (the scheme manager).

2.

It is not a complete statement of those requirements and should not be relied upon as it were.

COMP Sch 1.2G

Handbook reference

Subject of record

Contents of record

When record must be made

Retention period

FEES 6.3.14 R1

1

FSCS funding

Full details of the movement of funds within sub-schemes.

Ongoing requirement.

N/A2

2COMP 10.2.10 R(3)

Potential claimants for whom the separate limit under COMP 10.2.10 R(2) applies

Sufficient details to enable the identification of claimants for whom the separate limit under COMP 10.2.10 R(2) applies

As implicit from the rules in COMP

As implicit from the rules in COMP

3COMP 10.2.11 R

Potential claimants for whom the separate limit under COMP 10.2.11 R (2)applies

Sufficient details to enable the identification of claimants for whom the separate limit under COMP 10.2.11 R (2)applies

As implicit from the rules in COMP

As implicit from the rules in COMP