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Rules of Practice 1994 (S.R. 1994, No. 229)
Requested:  27 Apr 2017
Consolidated as at:  17 Mar 2006

46. Manner of keeping records on a computer system

A firm must ensure that –

(a) an entry in a record produced in a visible form is in chronological order and a copy is kept on the file relating to that record; and

(b) a report and each entry or page in a report is numbered sequentially in a manner which allows the completeness of the records to be verified; and

(c) particulars of a recorded transaction are not able to be amended except by a separate transaction effecting the amendment; and

(d) a back-up copy of all records is made at least once each month; and

(e) the most recent back-up copy is kept at separate premises or in a fireproof location on the firm's premises.


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