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FC-6.1.1

Past version: Effective from 01 Apr 2008 to 30 Sep 2014
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Investment firm licensees must comply with the record-keeping requirements contained in the AML Law and in the CBB Law. Investment firm licensees must therefore retain adequate records (including accounting and identification records), for the following minimum periods:

(a) For customers, in relation to evidence of identity and business relationship records (such as application forms and business correspondence), for at least five years after the customer relationship has ceased; and
(b) For transactions, in relation to documents enabling a reconstitution of the transaction concerned, for at least five years after the transaction was completed.
Amended: April 2008
Amended: January 2007