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COB 6.2.5

(1) An Authorised Firm must maintain and keep a record of:
(a) the written notice setting out the conditions for Personal Account Transactions under COB Rule 6.2.1(a)(i);
(b) each permission given or denied by the Authorised Firm under COB Rule 6.2.1(a)(ii);
(c) each notification made to it under COB Rule 6.2.1(b); and
(d) the basis upon which the Authorised Firm has ascertained that an Employee will not be involved in to any material extent, or have access to information about, the Authorised Firm's Investment Business for the purposes of COB Rule 6.2.3.
(2) The records in (1) must be retained for a minimum of six years from the date of:
(a) in (1)(a) and (1)(d), termination of the employment contract of each Employee;
(b) in (1)(b), each permission given or denied by the Authorised Firm; and
(c) in (1)(c), each notification made to the Authorised Firm.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]