Code of Federal Regulations Title 17. Commodity and Securities Exchanges § 17.23.201 Required records

(i) All documents customarily generated in accordance with market practice that demonstrate the existence and nature of an order or transaction, including, but not limited to, records of all orders (filled, unfilled, or cancelled);  correspondence;  journals;  memoranda;  ledgers;  confirmations;  risk disclosure documents;  statements of purchase and sale;  contracts;  invoices;  warehouse receipts;  documents of title;  and

(ii) The daily trading records required to be kept in accordance with § 23.202.

(i) Minutes of meetings of the governing body and relevant committee minutes, including handouts and presentation materials;

(ii) Organizational charts for its governing body and relevant committees, business trading unit, clearing unit, risk management unit, and all other relevant units or divisions;

(iii) Biographies or resumes of managers, senior supervisors, officers, and directors;

(iv) Job descriptions for manager, senior supervisor, officer, and director positions, including job responsibilities and scope of authority;

(v) Internal and external audit, risk management, compliance, and consultant reports (including management responses);  and

(vi) Business and strategic plans for the business trading unit.

(i) Records reflecting all assets and liabilities, income and expenses, and capital accounts as required by the Act and Commission regulations;  and

(ii) All other financial records required to be kept under the Act and Commission regulations.

(i) A record of each complaint received by the swap dealer or major swap participant concerning any partner, member, officer, employee, or agent. The record shall include the complainant's name, address, and account number;  the date the complaint was received;  the name of all persons identified in the complaint;  a description of the nature of the complaint;  the disposition of the complaint, and the date the complaint was resolved.

(ii) A record indicating that each counterparty of the swap dealer or major swap participant has been provided with a notice containing the physical address, email or other widely available electronic address, and telephone number of the department of the swap dealer or major swap participant to which any complaints may be directed.