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  • Record Keeping

    • RM-2.1.8

      Investment firm licensees must maintain appropriate records of:

      (a) Counterparty exposures, including aggregations of individual counterparty exposures, as appropriate, by:
      (i) Groups of connected counterparties;
      (ii) Types of counterparty as defined, for example, by the nature or geographical location of the counterparty;
      (b) Investment decisions, including details of the decision and the facts or circumstances upon which it was made; and
      (c) Information relevant to assessing current counterparty and risk quality.
      Adopted: July 2007

    • RM-2.1.9

      For the purposes of this Module, connected counterparties means all undertakings with which the licensee has close links; the Directors (and their family) of the licensee; and the Directors (and their family) of undertakings with which the licensee has close links.

      Adopted: July 2007