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15.4. Record keeping
FINANCIAL SERVICES LEGISLATION
RULES
CONDUCT OF BUSINESS RULES
Guidance: Purpose of this rulebook
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
Entire Act

15.4. Record keeping

15.4.1. General requirement

An Authorised Firm must maintain a record of all Complaints made against it for a minimum period of six years from the date of receipt of a Complaint.

15.4.2. Content of records

The record in COB 15.4.1 must contain the name of the complainant, the substance of the Complaint, a record of the Authorised Firm’s response, and any other relevant correspondence or records, and the action taken by the Authorised Firm to resolve each Complaint.