Home FCA Handbook TC TC Sch 1
You are viewing TC Sch 1 Record keeping requirements as of . TC Sch 1 Record keeping requirements was last updated on 09/12/2025.

TC Sch 1 Record keeping requirements

09/12/2025G
TC 2.1.24 R provides:
A firm must, for the purposes of TC 3.1.1 R (Record keeping), make and retain records of:
(1)the continuing professional development completed by each retail investment adviser; and
(2)the dates of and reasons for any suspension of the continuing professional development requirements under TC 2.1.17R.
01/11/2007G
TC 3.1.1 R provides:
A firm must make appropriate records to demonstrate compliance with the rules in this sourcebook and keep them for the following periods after an employee stops carrying on the activity:
(1)at least 5 years for MiFID business;
(2)3 years for non-MiFID business; and
(3)indefinitely for a pension transfer specialist.