COLL 10.2.7 Recordkeeping by authorised firms — all non-QFC schemes

An authorised firm must keep:

(a) a copy of each prospectus for a non-QFC scheme that it gives to customers for at least 6 years after the day it is last given to a customer;
(b) a copy of each complying disclaimer for a non-QFC scheme that it gives to customers for at least 6 years after the day it is last given to a customer;
(c) a record of the version of each prospectus for a non-QFC scheme that it gives to each customer, and the day it is given to the customer, for at least 6 years after the day it is given to the customer; and
(d) a record of the version of each complying disclaimer for a non-QFC scheme that it gives to each customer, and the day it is given to the customer, for at least 6 years after the day it is given to the customer.

Note Customer and prospectus are defined in the Glossary and complying disclaimer is defined in rule 10.2.1.
Amended by QFCRA RM/2019-4 (as from 1st January 2020).