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🔗 Back to Summary. 🇫🇷 French Version: 2017R0565_FR.43. Back to Summary of LVL1. Open the PDF. Direct link to EUR-LEX.
Article 42 – Additional requirements in relation to lending or provision of credit in the context of underwriting or placement ⬅️ | ➡️ Article 44 – Fair, clear and not misleading information requirements
Références LVL1 <=> LVL2
Level 1 reference(s): 2014L0065_EN.24, 2014L0065_EN.23, 2014L0065_EN.16 > 3
Article 43 - Record keeping in relation to underwriting or placing
Investment firms shall keep records of the content and timing of instructions received from clients. A record of the allocation decisions taken for each operation shall be kept to provide for a complete audit trail between the movements registered in clients’ accounts and the instructions received by the investment firm. In particular, the final allocation made to each investment client shall be clearly justified and recorded. The complete audit trail of the material steps in the underwriting and placing process shall be made available to competent authorities upon request.