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2.10.1. Requirement to keep records
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LEGAL ENTITIES LEGISLATION
FINANCIAL SERVICES LEGISLATION
REGULATIONS
RULES
GENERAL RULES
CONDUCT OF BUSINESS RULES
Guidance: Purpose of this rulebook
1. APPLICATION
2. CLIENT CLASSIFICATION
2.1. General requirements
2.2. Retail Clients
2.3. Professional Clients
2.4. Deemed Professional Clients
2.5. Assessed Professional Clients
2.6. Reclassification of a Professional Client as a Retail Client
2.7. Market Counterparties
2.8. Trusts and Funds
2.9. Agent as Client
2.10. Record keeping
2.10.1. Requirement to keep records
2.10.2. Length of recordkeeping requirement
2.10.3. Date on which the business relationship ended
2.10.4. Obligation to provide access to the AFSA
3. COMMUNICATIONS WITH CLIENTS AND FINANCIAL PROMOTIONS
4. KEY INFORMATION AND CLIENT AGREEMENT
5. CONDUCT OF INVESTMENT BUSINESS
6. ORDER EXECUTION AND ORDER HANDLING
7. CONFLICTS OF INTEREST
8. CLIENT ASSETS
9. REPORTING TO CLIENTS
10. INVESTMENT RESEARCH
11. INSURANCE INTERMEDIARIES
12. TRUST SERVICE PROVIDERS
13. ANCILLARY SERVICE PROVIDERS
14. CREDIT RATING AGENCIES
15. COMPLAINTS HANDLING AND DISPUTE RESOLUTION
16. RECORD KEEPING AND INTERNAL AUDIT
17. [intentionally omitted]
18. BANKS
19. CONDUCT OF INSURANCE AND TAKAFUL BUSINESS
20. INSURANCE MANAGEMENT
SCHEDULE 1: TRANSACTION RECORDS
SCHEDULE 2: KEY INFORMATION AND CONTENT OF CLIENT AGREEMENT
SCHEDULE 3: TRADE CONFIRMATION
SCHEDULE 4: PERIODIC STATEMENTS
SCHEDULE 5: FINANCIAL PROMOTIONS
ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING AND SANCTIONS RULES
COLLECTIVE INVESTMENT SCHEME RULES
AUTHORISED MARKET INSTITUTION RULES
MARKET RULES
RECOGNITION RULES
DEMATERIALISED INVESTMENT RULES
RULES FOR PRE-IPO LISTINGS
SOVEREIGN BONDS RULES
BANKING BUSINESS PRUDENTIAL RULES
PRUDENTIAL RULES FOR INVESTMENT FIRMS
PRUDENTIAL RULES FOR INSURANCE INTERMEDIARIES
INSURANCE AND REINSURANCE PRUDENTIAL RULES
ISLAMIC BANKING BUSINESS PRUDENTIAL RULES
ISLAMIC FINANCE RULES
TAKAFUL AND RETAKAFUL PRUDENTIAL RULES
REPRESENTATIVE OFFICE RULES
AIFC AUDITOR RULES
AIFC Financial Technology Rules
COOPERATION AND EXCHANGE OF INFORMATION RULES
TERMS AND PROCEDURE FOR CURRENCY TRANSACTIONS
FINANCIAL SERVICES EXEMPT FROM CORPORATE TAX
GLOSSARY
FEES RULES
RULES ON CURRENCY REGULATION AND PROVISION OF INFORMATION ON CURRENCY TRANSACTIONS IN THE AIFC
RULES ON THE SUBSTANTIAL PRESENCE OF THE AIFC PARTICIPANTS APPLYING TAX EXEMPTIONS FOR THE PAYMENT OF CIT, VAT
MULTILATERAL AND ORGANISED TRADING FACILITIES RULES
AIFC RECOVERY AND RESOLUTION RULES
AIFC RULES ON DIGITAL ASSET ACTIVITIES
RULES AND MECHANISMS OF COOPERATION OF UNBACKED DIGITAL ASSET EXCHANGES AND/OR CENTRE PARTICIPANTS AUTHORIZED TO CARRY OUT DIGITAL ASSETS-RELATED ACTIVITIES WITH SECOND-TIER BANK OF THE REPUBLIC OF KAZAKHSTAN
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2.10. Record keeping
2.10.2. Length of recordkeeping requirement
2.10.1. Requirement to keep records
An
Authorised Firm
must keep records of:
(a) the procedures which it has followed under
COB 2
, including any documents that evidence the
Client
’s classification; and
(b) any notification sent to the
Client
under
COB 2
, together with evidence of despatch.
Links to this article
2.10.4. Obligation to provide access to the AFSA
2.10.2. Length of recordkeeping requirement