Commonwealth Consolidated Acts Commonwealth Consolidated Acts(1) A financial services licensee must keep records sufficient to enable the licensee's compliance with this Subdivision to be readily ascertained.
Note 1: For preservation of records, see section 1101C.
Note 2: Failure to comply with this subsection is an offence (see subsection 1311(1)).
(2) The regulations may specify records that the
financial services licensee must keep as part of the obligation in subsection
(1).