Governance and conduct
Records retention schedule
This pack sets how long your firm keeps its records, how you delete them and how you stop deletion when a claim or investigation starts. It covers UK, US and EU rules for banks, fintechs, payment firms, crypto firms and investment firms.
What's in the pack
00 Start hereThe order to work in and how the documents are marked up.
01 Retention scheduleWorkbook. UK, US and EU periods side by side for 17 core record types, with the legal basis for each. Use it first: it sets the period for every record you hold.
02 Records retention policyThe rules your staff follow: who owns records, how long you keep them, how you store and delete them. Approve it, then review it every year.
03 Disposal logWorkbook. One row for every batch of records you delete, with a check that the period has run and no hold applies.
04 Legal hold noticeNotice to staff that stops deletion, with an acknowledgement and a release notice. Send it when a claim, investigation or regulator request starts.
Who it's for
Compliance, legal and operations teams at banks, fintechs, payment, crypto and investment firms that must keep and delete records on time.
How you get it
Pay by card, Apple Pay or Google Pay. You download a zip straight away, and we email you the link too. The link works for 30 days.
See all 7 compliance template packs.All templates →
