(a) An Authorised Person must maintain and keep a record of:
(i) the written notice setting out the conditions for Personal Account Transactions under
Rule 6.2.1(a)(i);
(ii) each permission given or denied by the Authorised Person under
Rule 6.2.1(a)(ii);
(iii) each notification made to it under
Rule 6.2.1(b); and
(iv) the basis upon which the Authorised Person has ascertained that an Employee will not be involved in to any material extent, or have access to information about, the Authorised Person's Investment Business for the purposes of
Rule 6.2.3.
(b) The records in Rule 6.3.1(a) must be retained for a minimum of six years from the date of:
(i) in Rule 6.3.1(a)(i) and Rule 6.3.1(a)(iv), termination of the employment contract of each Employee;
(ii) in Rule 6.3.1(a)(ii), each permission given or denied by the Authorised Person; and
(iii) in Rule 6.3.1(a)(iii), each notification made to the Authorised Person.