Regulation 13

records showing —

the registered salespersons of the licensed estate agent who have undergone the training mentioned in regulation 10(1)(e) in relation to the prevention of money laundering, countering proliferation financing and countering terrorism financing;

the date of the training;

the type of training received;

the training schedule for the registered salespersons employed by the licensed estate agent who have not been trained; and

any correspondence or other communication sent by the licensed estate agent to the registered salespersons of the licensed estate agent setting out the internal policies, procedures and controls mentioned in regulation 10(1)(c);

records relating to any matter —

under investigation by the police, a Commercial Affairs Officer or a Suspicious Transaction Reporting Officer; and

that is the subject of a suspicious transaction report;

records relating to any risk assessment documented under regulation 10(1)(b);

records relating to the compliance management arrangements developed and implemented under regulation 10(2), including —

the date each internal check and audit mentioned in that regulation was carried out;

the sample size of each such internal check and audit;

details of each transaction that was sampled for the purposes of each such internal check and audit; (iv)the outcome and result of each such internal check and audit; and

details of each rectification measure taken under regulation 10(2)(c).