Investment Industry Regulatory Organization of Canada (IIROC) 29.7
Summary
Investment Industry Regulatory Organization of Canada (IIROC) requires all client correspondence and related documents, including all forms of electronic communications, must be retained for five years from the date of creation. In addition, all sales literature and related documents must be retained for two years from the date of creation. Archived sales literature and correspondence must be readily available for inspection by the Association at all times.
Key regulatory requirements include:
- All client correspondence and related documents, including all forms of electronic communications, must be retained for five years from the date of creation.
- All sales literature and related documents must be retained for two years from the date of creation.
- Archived sales literature and correspondence must be readily available for inspection by the Association at all times.
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