Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) Rules

Financial Institutions carrying on a range of regulated activities in the UK will be regulated by the PRA and FCA (for banks, insurers and certain large investment firms) and by the FCA (for all other firms). PRA and FCA rules contain a complex web of regulatory requirements, with records to evidence compliance as key to many of them. Some parts of the rulebooks require more by way of records to be kept than others. This guide highlights the key areas of FCA that attract the most burdensome recordkeeping requirements.

Smarsh, Inc. assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for specific information on specific rules and regulations and how they apply to your business.

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