Which of these records about your customer Doug is your firm required to retain for five years?
A. Doug’s customer ledger
B. A SAR you filed on Doug
C. A complaint Doug filed about you
D. A confirmation of one of Doug’s trades
Answer:B
Which of these records about your customer Doug is your firm required to retain for five years?
A. Doug’s customer ledger B. A SAR you filed on Doug C. A complaint Doug filed about you D. A confirmation of one of Doug’s trades