3.5.2. Content of records
The record must include at least the following detail:
- (a) the name of the senior Employee who reviewed the Financial Promotion;
- (b) the date the Financial Promotion was made or approved;
- (c) if the Financial Promotion was in writing, a copy of the Financial Promotion; and
- (d) if the Financial Promotion was not in writing, details of the Financial Promotion and its outcome, including a note stating if the Client requested the termination of a real time Financial Promotion. The Authorised Promoter must keep the records for at least 6 years after the Financial Promotion is no longer made.