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Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Version date: 1 July 2023 - onwards
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Regulation 13 Telephone recordings

Revoked from 1 July 2023

(1) Where an investment business firm records a telephone conversation, it shall retain such recording for a period of at least 6 months.

(2) Where an investment business firm has reasonable cause to believe that a telephone recording referred to in paragraph (1) is, or might be, relevant to a complaint, disciplinary action or investigation, it shall retain the telephone recording until it ceases to be of relevance to such complaint, disciplinary action or investigation.

Comparing proposed amendment...