AML 14.4.1

A Relevant Person must maintain the following records:

(a) a copy of all documents and information obtained in undertaking initial and ongoing Customer Due Diligence;
(b) records (consisting of the original documents or certified copies) in respect of the customer business relationship, including:
(i) business correspondence and other information relating to a customer's account;
(ii) sufficient records of transactions to enable individual transactions to be reconstructed; and
(iii) internal findings and analysis relating to a transaction or any business, such as if the transaction or business is unusual or suspicious, whether or not it results in a Suspicious Activity Report;
(c) notifications made under AML Rule 13.2.2};
(d) Suspicious Activity Reports and any relevant supporting documents and information, including internal findings and analysis;
(e) any relevant communications with the FIU;
(f) the documents in AML Rule 14.4.2; and
(g) any other matter that the Relevant Person is expressly required to record under these Rules,

for at least six years from the date on which the notification or report was made, the business relationship ends or the transaction is completed, whichever occurs last.

Derived from RM117/2013 [VER9/07-13]
[Amended] DFSA RM196/2016 (Made 7th December 2016). [VER13/02-17]
[Amended] DFSA RM223/2018 (Made 18th April 2018). [VER14/07-18]
[Amended] DFSA RM231/2018 (Made 6th June 2018) [VER15/07-18]
[Amended] DFSA RM258/2019 (Made 26th June 2019). [VER16/07-19]