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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 2022-07-29.

SYSC 28A.3 Record keeping requirements

Record keeping requirements

SYSC 28A.3.1R

1A firm must:

  1. (1)

    establish, maintain and keep appropriate records to demonstrate compliance with this chapter; and

  2. (2)

    be in a position to provide to the FCA, on request, the name of the person responsible for the record-keeping requirement in (1).

SYSC 28A.3.2 RR

1A firm must not prevent any person from obtaining a copy of the records relating to them which are maintained by the firm for the purposes of SYSC 28A.3.1R.

SYSC 28A.3.3G

1The rules specified in SYSC 28A.3.1R relate to the requirements specified in SYSC 5.1.1R, SYSC 9.1.1R and SYSC 10.1.6R.