DISP Sch 1 Record keeping requirements

DISP Sch 1.1G

The aim of the guidance in the following table is to give the reader a quick overall view of the relevant record keeping requirements.

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

DISP Sch 1.2G

Handbook reference

Subject of record

Contents of record

When record must be made

Retention period

5DISP 1.1A.37EU

MiFID complaints subject to DISP 1.1A.

Each MiFID complaint received and the complaint handling measures taken to address the MiFID complaint and for its resolution

[Note: see article 26(1), article 72, and Annex 1 of the MiFID Org Regulation]

Not specified (see article 26(1), article 72 and Annex 1 of the MiFID Org Regulation)

Not specified (see article 72 of the MiFID Org Regulation)

DISP 1.9.1 R26

26

Complaints1 subject to DISP 1.3 - DISP 1.8.

112614

Each complaint received and the measures taken for its resolution1

1

From5 receipt

5 years for complaints relating to5 collective portfolio management services 3and 13 years for all other complaints1