MIE-A.4.10

All capital market service providers must take reasonable steps to retain and protect the records referred to in rule MIE-A.4.9:

(a) Apart from complying with various requirements relating to record keeping, as per CBB Law, rules and regulations and other applicable laws, rules and regulations, the recordings of telephone conversations and electronic communications, including facsimile, email and other instant messaging devices relating to their activities in the securities market must be retained for a period of at least twelve months from the date the record was created;
(b) [This subparagraph was deleted in July 2021];
(c) In a medium that allows the storage of the information in a way accessible for future reference by the CBB, and so that the following conditions are met:
(i) The CBB must be able to access the records readily and take copies;
(ii) It must be possible for any corrections or other amendments, and the contents of the records prior to such corrections and amendments to be easily ascertained;
(iii) It must not be possible for the records to be otherwise manipulated or altered.
Amended: July 2021