一般规则
一般而言，我们预期中介人及其有联系实体备存有关纪录的正本而非其副本，无论该等文件是否与交易有关的纪录。
纪录保存期
倘若该等纪录为证明已遵守第3(1)(a)(vi)条及第4(1)(a)(v)条所指明分别有关《客户款项规则》及《客户证券规则》的条文所必须具备的纪录；或为证明其已设有监控系统以确保符合该等规定的纪录，根据《证券及期货(备存纪录)规则》的规定，此类纪录必须保存7年。
至于其他每日合规检查的纪录，保存期并没有在《证券及期货(备存纪录)规则》内订明。然而，作为良好的内部监控惯例，中介人预期应要保存该等纪录一段合理期间，以便为内部审计及外聘审计工作，提供足够的审计线索。尤其是如果该等纪录为证明已遵守《操守准则》第12.1段规定适用于该商号的规则及规例所必须具备的重要合规纪录，一般而言，最好保存7年。
最后更新日期: 2003年7月28日
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