Hey, I’ve just been asked to review trading’s call monitoring practices at work ‘I need a point man on this’… After I’d finished yawning, I realised that certain questions like how long should we retain calls for, and notification to clients/employees could be credibly covered under CFA ethics. I guess the remmended record retention period of 7 years is appropriate, but are you aware of any specific CFA recommendations which address this topic? Thanks, APP
I guess this is written in Asset Manager Code?
only 6 years as per book 1 CFAI page 231