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TC 2.8 Record keeping

TC 2.8.1R
  1. (1)

    A firm must make appropriate records to demonstrate compliance with the rules in this chapter.

  2. (2)

    The records in (1) must be retained by the firm for at least three years after an employee ceases to engage in or oversee an activity, except for the records of pension transfer specialists, which must be retained indefinitely.1