A CIRO auditor requests copies of client trade instructions from a Mutual Fund Dealer. According to Rule 5, how must the Dealer provide these records?

Question

Accepted Answer

Rule 5.2 and 5.5 require that the storage system be capable of furnishing legible and complete copies promptly to the Corporation.

A CIRO auditor requests copies of client trade instructions from a Mutual Fund Dealer. According to Rule 5, how must the Dealer provide these records?

Discussion