Glossary / Records

SYSC 9 (FCA record-keeping)

The part of the FCA Handbook that requires firms to keep orderly records sufficient to let the regulator monitor compliance.

It is a high-level rule that applies across authorised firms. More specific rules, such as those in COBS, set particular records and periods. Check the current Handbook text.

General information, not legal advice. Rules and dates change, so check the source before relying on them.