Course curriculum

    1. Record Keeping - Video

    2. Record Keeping Q&A

    3. Course Feedback

About this course

  • $175.00
  • 3 lessons
  • 0.5 hours of video content

Summary

An overview of the SFC’s regulatory requirements on record keeping, including the types of records that would be considered as ‘regulatory records’, their retention periods, and alternative record keeping arrangements such as the Electronic Data Storage Provider (EDSP) regime.

  • The regulatory framework, guidelines, and rules established by the SFC regarding record keeping for Licensed Corporations.

  • The regulatory requirements for electronic record keeping, including retention periods, access controls, and relevant regulatory approvals for different arrangements.

  • How to prepare for regulatory audits and inspections by ensuring that its records are organized, accessible, and compliant with regulatory standards.

Design: Dona Samaranayake
Content: Alex Esson