Home FCA Handbook FPCOB FPCOB Sch 1 FPCOB Sch 1 Recordkeeping requirements
You are viewing FPCOB Sch 1 Recordkeeping requirements as of . FPCOB Sch 1 Recordkeeping requirements was last updated on 29/07/2022.

FPCOB Sch 1 Recordkeeping requirements

29/07/2022G

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

29/07/2022G

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

Handbook referenceSubject of recordContent of recordWhen record must be madeRetention period
FPCOB 3.1.11R, 3.1.12G(3)Monies held on trust for customersLocation and amount of monies held on trust for particular customersWhen making safeguarding arrangements specified in FPCOB 3.1.11RNot specified
FPCOB 4.2.13R(1)Financial promotionA financial promotion communicated or approved (subject to exemptions)When communicated or approved6 years
FPCOB 4.2.13R(2)Telemarketing scriptsCopy of any script usedDate script used6 years
FPCOB 6.4.18RFP distribution chargesFP distribution charges paid by each customerDate paid by customerNot specified
FPCOB 15.9.4GCalculation of core capital resourcesReasons for any difference between the deficit reduction amount and any public commitment to provide funding in respect of a defined benefit occupational pension schemeWhen calculating its capital resources for the core capital resources requirementNot specified
FPCOB 15.10.5RRisk assessmentsAssessments required under FPCOB 15.10.4R including major sources of risk and how the firm intends to deal with themWhen assessments are made under FPCOB 15.10.4RAt least 3 years
FPCOB 16.1.5R(4)Single central recordSingle central record containing all up-to-date and pertinent information and documents relating to each funeral plan contractDate firm entered into funeral plan contractNot specified
FPCOB 16.2.3RThe firm’s most recent funeral plan resolution manualAs stated in the ruleWhen the funeral plan resolution manual is made or updatedNone specified (but see FPCOB 16.2.4R)