16.2. Table summarising record keeping requirements
COB reference
Nature of record
Length of record keeping requirement
Date from which record must be kept
Record of Client classification
Six years
Date on which the business relationship with a Client ended
Financial Promotion issued by, or on behalf of, the Authorised Firm
Six years
Date on which the Financial Promotion ceases to be made
A record of each Client Agreement including any subsequent amendments to it as agreed with the Client
Six years
From the date the Client ceases to be a Client of the Authorised Firm
Suitability report
Six years
From the date the Client ceases to be a Client of the Authorised Firm
Records of orders and transactions
Six years
From date of order or transaction
Record of inducements disclosed
Six years
From the date on which the inducement was disclosed
Record of Client Money received in the form of cheque, or other payable order
Six years
From date of receipt
Records which enable an Authorised Firm to determine promptly the total amount of Client Money that it holds for each of its Clients
Six years
From the date the Client ceases to be a Client of the Authorised Firm
Records in respect of Client Investments
Six years
From the date the Client ceases to be a Client of the Authorised Firm
A copy of each confirmation note sent to a Client
Six years
From the date of despatch
A copy of any periodic statement provided to a Client
Six years
From the date on which it was provided
A copy of any agreement entered into between an insurer and that Insurance Intermediary acting as agent
Six years
From the date on which that agreement is terminated
Records of all sums withdrawn from the Insurance Bank Account
Six years
From the date of withdrawal or realisation
Record of all Complaints made against the Authorised Firm for a minimum period of six years
Six years
From the date of receipt of a Complaint
COB reference | Nature of record | Length of record keeping requirement | Date from which record must be kept |
Record of Client classification | Six years | Date on which the business relationship with a Client ended | |
Financial Promotion issued by, or on behalf of, the Authorised Firm | Six years | Date on which the Financial Promotion ceases to be made | |
A record of each Client Agreement including any subsequent amendments to it as agreed with the Client | Six years | From the date the Client ceases to be a Client of the Authorised Firm | |
Suitability report | Six years | From the date the Client ceases to be a Client of the Authorised Firm | |
Records of orders and transactions | Six years | From date of order or transaction | |
Record of inducements disclosed | Six years | From the date on which the inducement was disclosed | |
Record of Client Money received in the form of cheque, or other payable order | Six years | From date of receipt | |
Records which enable an Authorised Firm to determine promptly the total amount of Client Money that it holds for each of its Clients | Six years | From the date the Client ceases to be a Client of the Authorised Firm | |
Records in respect of Client Investments | Six years | From the date the Client ceases to be a Client of the Authorised Firm | |
A copy of each confirmation note sent to a Client | Six years | From the date of despatch | |
A copy of any periodic statement provided to a Client | Six years | From the date on which it was provided | |
A copy of any agreement entered into between an insurer and that Insurance Intermediary acting as agent | Six years | From the date on which that agreement is terminated | |
Records of all sums withdrawn from the Insurance Bank Account | Six years | From the date of withdrawal or realisation | |
Record of all Complaints made against the Authorised Firm for a minimum period of six years | Six years | From the date of receipt of a Complaint |
- 16.1. Record keeping requirements