IOC - Complaints Flashcards
1
Q
If a firm receives a complaint relating to MiFID business, how long must it keep records for?
A: 5 years from dare or resolution of the complaint
B: 5 years from the date of receipt of the complain
A
B
If a firm receives a complaint relating to MiFID business, how long must it keep records for?
A: 5 years from dare or resolution of the complaint
B: 5 years from the date of receipt of the complain
B