COB 3.6.1

An Authorised Firm must, for a minimum of six years, maintain sufficient records in relation to each activity and function of the Authorised Firm. These must include, where applicable, the following:

(a) any marketing material issued by, or on behalf of, the Authorised Firm;
(b) any financial products or Financial Services provided to a Client and each advice or recommendation made to a Client,
(c) a record of each Client Agreement including any subsequent amendments to it as agreed with the Client;
(d) records relating to the suitability assessment undertaken by the Authorised Firm to demonstrate compliance with COB Rule 3.4.2;
(e) records to demonstrate compliance with the requirements relating to inducements under COB section 3.5, including any disclosure made to Clients under that section and if any goods and services are received by the Authorised Firm under a Soft Dollar Agreement, the details relating to those agreements; and
(f) any other disclosures made to Clients.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]