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.

RCB Sch 1 Record keeping requirements

  1. 1(1) 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 this sourcebook.

  2. (2) Regulation 17(2)(a) (general requirements on issuer in relation to the asset pool) and Regulation 24(1)(a)(i) (requirements on owner in relation to the asset pool) require a record to be kept of each asset in the asset pool.

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

  4. (4) There are no other record-keeping requirements in RCB.

  5. (5) Table

  6. Handbook reference

    Subject of record

    Contents of record

    When record must be made

    Retention period