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🔗 Back to Summary. 🇫🇷 French Version: 2017R0565_FR.72. Back to Summary of LVL1. Open the PDF. Direct link to EUR-LEX.
Article 71 – Eligible counterparties ⬅️ | ➡️ Article 73 – Record keeping of rights and obligations of the investment firm and the client
Références LVL1 <=> LVL2
Level 1 reference(s): 2014L0065_EN.16 > 6
Article 72 - Retention of records
1.
The records shall be retained in a medium that allows the storage of information in a way accessible for future reference by the competent authority, and in such a form and manner that the following conditions are met:
(a)
the competent authority is able to access them readily and to reconstitute each key stage of the processing of each transaction;
(b)
it is possible for any corrections or other amendments, and the contents of the records prior to such corrections or amendments, to be easily ascertained;
(c)
it is not possible for the records otherwise to be manipulated or altered;
(d)
it allows IT or any other efficient exploitation when the analysis of the data cannot be easily carried out due to the volume and the nature of the data; and
(e)
the firm’s arrangements comply with the record keeping requirements irrespective of the technology used.
2.
Investment firms shall keep at least the records identified in Annex I to this Regulation depending upon the nature of their activities.
The list of records identified in Annex I to this Regulation is without prejudice to any other record-keeping obligations arising from other legislation.
3.
Investment firms shall also keep records of any policies and procedures they are required to maintain pursuant to Directive 2014/65/EU, Regulation (EU) No 600/2014, Directive 2014/57/EU and Regulation (EU) No 596/2014 and their respective implementing measures in writing.
Competent authorities may require investment firms to keep additional records to the list identified in Annex I to this Regulation.