GENPRU Sch 1 Record keeping requirements

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

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

3 Table

Handbook reference

Subject of Record

Contents of record

When record must be made

Retention Period

GENPRU 1.2.60 R - GENPRU 1.2.61 R

Firm's assessment of its financial resources

(1) The major sources of risk the firm has identified

(2) How the firm intends to deal with those risks

(3) Details of the stress and scenario analyses carried out and the resulting financial resources estimated to be required

Not specified

At least three years

GENPRU 1.3.22 R

Valuation models for marking to model

Secure copy of firm's own valuation model

When model is in use

Not specified