TC 3
Record Keeping
TC 3.1
Record-keeping requirements
- 01/11/2007
TC 3.1.1
See Notes
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.
- 01/11/2007