Series 3: 7.3.8.3. Recordkeeping And Compliance

Taken from our Series 3 Online Guide

7.3.8.3. Recordkeeping and Compliance

An adequate compliance program for money laundering must include written requirements on the types of records that should be maintained and the location where they must be kept. Records must be maintained for five years and be readily accessible for the first two years.

FCMs and IBs must designate an indiv

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