1. See GEN Rules 5.3.24 – 5.3.27 for the requirements relating to record keeping. These Rules require, among other things, that
Authorised Firms be able to produce records, however kept, within a reasonable period not exceeding three business days.
2. If an
Authorised Firm is aware of any restrictions that prevent it from being able to produce relevant records relating to a client classification referred to in Rule 2.5.3(1), that firm would need to undertake its own client classifications.
Derived from DFSA RM149/2015 (Made 11th February 2015) [VER24/04-15]