Transaction Monitoring
TM-10Retain alerts, cases, referrals, and calibration records five years
How Leela would run itContinuous · five years from each record’s creation, or the bank’s determination for a referral
From the policy libraryThe requirement
Every alert with its resolution, every investigation case file, every referral package, the sponsor bank’s response or filing confirmation for each referral, the monitoring log, and every calibration memo and rule change approval are retained for at least five years, in a form the Company can produce for sponsor bank testing and regulatory examination.
- Applies
- Tell Leela about your company to see whether this applies.
- Status
- Setup needed
Tell Leela how you handle it today, or hand it over: see what’s next.
The work
File each record class under the retention schedule, key each retention date to the record, and be able to produce any alert, case, or referral on request.
What Leela keepsThe evidence this obligation leaves, as the work happens
Listed from the policy libraryContents
- 01Retention schedule entryRecord class, retention period, storage location, retrieval owner
- 02Production testA sample alert, case, and referral retrieved on request, with the time taken
Evidence
Retention schedule entry
Transaction Monitoring §9
2
of 2 records
The work and the records come from this obligation in the policy library.