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  • Compliance Records

    • AML-6.1.2

      Capital Market Licensees must retain copies of the reports produced for their annual compliance review, as specified in rule AML-3.3.1, for at least five years. Capital Market Licensees must also maintain for five years reports made to, or by, the MLRO made in accordance with sections AML-4.1 and AML-4.2, and records showing how these reports were dealt with and what action, if any, was taken as a consequence of those reports.

      Amended: January 2022
      Added: October 2010

    • AML-6.1.3

      When required to deliver the original copy of a record concerning any transaction, or a document pertaining thereto before the expiry of the prescribed period, the Capital Market Licensees shall observe the following:

      (a) They shall maintain a complete copy of the delivered record or documents until the end of the period prescribed for maintaining the original records or documents.
      (b) They shall maintain a record of the delivered documents.
      Amended: January 2022
      Added: October 2010