TC 3.1 Record-keeping requirements

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. (1)

   at least 5 years for MiFID business;

2. (2)

   3 years for non-MiFID business; and

3. (3)

   indefinitely for a pension transfer specialist.