FCA Retention Schedule

1 Record DescriptionTriggerDefault Retention periodRecords DescriptionTriggerDefault Retention PeriodRecords Description TriggerDefault Retention PeriodRecords DescriptionTriggerDefault Retention PeriodRecords Description TriggerDefault Retention PeriodAuthorisation, Supervision & Market Oversight activitiesEnd of the financial yearFCA Board and their committees including minutes and supporting papersFCA DisbandedBusiness continuity planning, auditing and risk scenariosEnd of Financial Year FCA expenditureEnd of Financial YearHR operational activities including all records relating to colleagues from recruitment to of EmploymentInformation & data collected in support of regulatory activities, both mandatory returns and ad-hoc requestsEnd of Financial YearCorporate records as required by the Companies Act including articles of association and annual accountsFCA DisbandedChange Programmes supporting the delivery of business change including programmes not deliveredSystem decommission / superseded / programme completion or decision dateRevenueEnd of Financial YearTalent ManagementDate of creationSector.

2 Market and competition studiesConclusion of studyFCA Publications including published corporate reports, FCA Mission, planning & prioritisation and business performance monitoringFCA DisbandedManagement of technology services including architecture designs, Operating manuals, configurations, DR planning & testing, performance, capacity & availability monitoringDate of creation / DecommissionFinancial controlEnd of Financial YearTraining materialsDate of creationRegulated firms and sectors risk exposure oversight and assuranceEnd of Financial YearPolicy & Handbook including consultation papersFCA DisbandedOversight of risk assurance, framework, Register, tolerance and project complianceLast Modified / Superseded / Project ClosureProcurement & Contract Management - end to end End of the ContractPay & benefits including review and deliveryEnd of Financial YearRisk & Compliance Oversight in support of regulatory activitiesProject closure or completion of review / assessmentRegister of Approved Firms and Persons.

3 Securities and Approved SponsorsFCA DisbandedTesting & Scope of Policy Controls for suppliers & systemsLife of System / End of RelationshipPayrollEnd of Financial YearCorporate view & prioritisation in support of Sector views and external policy development activitiesConclusion of the workFCA internal corporate policiesLast Modified DateUnsuccessful tendersAward of Contract3 Years(IV)FCA Pension plan operational activitiesEnd of Financial YearIndependent Panel & decision-making committees, internal regulatory advisory boards minutes and supporting papersEnd of Financial YearFCA evidence in support of compliance with external regulation GDPRFCA DisbandedLife of FCA(V)Internal Audit activities Date or issue of report / succession of police /Last ModifiedBudget & Planning End of Financial Year10 years(IV)FCA Pension Plan Personal FilesAfter benefit is takenChairman, Chief Executive, Executive Directors and Directors focused on regulatory matters, including external engagement & correspondenceDate of DepartureCode of Conduct including development & administrationSuperseded7 Years(V)Information Rights Requests including DP, FOIA, EIR and associated appealsCase ClosureDomestic and International stakeholder and partner EngagementEnd of Financial YearCode of Conduct AttestationEnd of Employment7 Years(I)

4 Cyber, Information & Privacy Management including intelligence, compliance monitoring and reporting and advice and support Date of CreationRecruitment - Unsuccessful CandidatesEnd of Recruitment6 months(IV) Wider FCA external communicationsEnd of Financial YearStaff Consultative committee activitiesEnd of Financial Year3 Years(I)Executive Directors and Directors external engagement & correspondence focussed on operational mattersEnd of Financial YearEnhanced referencing policy - serious misconductFCA DisbandedLife of FCA +25 years(IV)MOU's and other legal agreements with regulatory stakeholdersSuperseded / end of agreementMutual Societies Public RegisterFCA DisbandedReturn to HMT (IV)FCA Mission, organisational performance and corporate prioritisation working documents End of Financial YearLearning & Development Feedback formsEnd of Financial Year3 years(V)Legal advice & SupportEnd of Financial YearAdministrative activities supporting the FCA Board, Committees, Independent Panels, Advisory Boards, and Team meetingsEnd of Financial Year or End of TenurePension Plan Trustee Board and Pension Plan communicationsFCA DisbandedLife of FCA +25 years(IV)

5 Witness StatementsEnd of Financial YearCommunications including campaigns, events, internal comms, press & media, and support given to staff on comms mattersEnd of financial year / Event or CampaignFees Policy End of Financial YearContracts, including those under SealEnd of contract FCA corporate policies supporting regulatory activitiessuperseded (New Version)FCA insurance including professional indemnity, building insurance etc End of Insurance TermOperational activities supporting regulatory workEnd of Financial YearFCA colleague Security Clearance including all supporting documentationStart of ClearanceFCA Complaints end to end management and monitoring, including appealsResolution of Complaint / End of Financial YearPhysical security supporting the protection of employeesEnd of Financial YearHealth & Safety procedures & good practice guidance, assessments, inspections and advice End of Financial YearFirm & Consumer Queries (Supervision Hub) Last Contact 6 Years(II)

6 Management of FCA facilities - soft services End of Financial YearAll personal customer data of a firm collected during supervisory activity, unless it is required for Enforcement purposesLast Contact3 Years(I)Management of FCA facilities - hard services Replaced / End of LeasePolicy & Handbook responses to consultation activitiesRemoval from external website10 Years(V)Departmental administration, drafts and working papers supporting FCA operational mattersLast Modified DateEnforcement cases and actions including competition cases, POCA cases and evidence obtained in support of enforcement Case Closure10 Years(II)Enforcement cases and actions including competition cases, evidence obtained in support of enforcement resulting in a prohibition order, permanent injunction or a freezing ClosureLife of FCA +25 years (V)Instant Message Chat Logs (MS Teams)Date of Creation8 days(V)Information and evidence obtained under Market Abuse Regulation (MAR)Date Created10 Years(II)Business Continuity emergency plan including contact and next of kin lists Superseded 6 months (I)Enforcement intelligence gathering Date of receipt or last modified10 Years(V)Technology services in support of system / content backup solutionsDate of Creation6 Months(I)

7 Information provided by or to an overseas regulatory bodyEnd of Financial Year10 Years(I)Incident Management, breaches & reporting - including H&S incidents, information security breaches, threat reports, access reports and security logsCase Closure3 Years (V)Predecessor recordsEnd of Retention periodReturn to HMT (V)Physical Security CCTV RecordingsDate of Recording3 Months(V)Legal Know-howCreation DateLife of FCA (V)Information published as part of our Information Publication Scheme (FOIA) CurrentCurrent Version (III)Information relating to pre-application discussions that do not progress to a live applicationLast contact3 Years(V)FCA Employer and Public Liability InsuranceEnd of Insurance Term40 Years(IV)GDPR / ICO GuidanceIHealth & Safety Hazardous substances assessments and reportingEnd of Financial Year40 years(IV)MAR / FSMAIIL eavers email AccountsEnd of employment1 year(V)FOIAIIIE mail accounts - Legal hold End of Employment25 Years(V)Other legislationIVEmail Shared AccountsAccount Closure1 Year(V)Business Requirement / best practiceVFCA PublicExceptions7 YearsGeneral OperationsRegulatoryCorporateDefinition: Information that is created or received in the course of the FCA discharging its regulatory duties.

8 Retention requirements are driven predominantly by : Information that is required by the FCA to demonstrate it is functioning in accordance with internal and external rules and regulations. Retention requirements are driven predominantly by the Companies : Information required to evidence how the FCA operates on a day to day basis, this will include processes, procedures and evidence of operational decisions taken. Retention requirements are driven by multiple pieces of HRKey Retention Exception DriversLife of FCA + 25 YearsExceptionsExceptionsExceptions7 Years7 YearsExceptions25 years