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🔗 Back to Summary. 🇫🇷 French Version: 2017R0565_FR.74. Back to Summary of LVL1. Open the PDF. Direct link to EUR-LEX.
Article 73 – Record keeping of rights and obligations of the investment firm and the client ⬅️ | ➡️ Article 75 – Record keeping of transactions and order processing
Références LVL1 <=> LVL2
Level 1 reference(s): 2014L0065_EN.16 > 6
Article 74 - Record keeping of client orders and decision to deal
An investment firm shall, in relation to every initial order received from a client and in relation to every initial decision to deal taken, immediately record and keep at the disposal of the competent authority at least the details set out in Section 1 of Annex IV to this Regulation to the extent they are applicable to the order or decision to deal in question.
Where the details set out in Section 1 of Annex IV to this Regulation are also prescribed under Articles 25 and 26 of Regulation (EU) No 600/2014, these details should be maintained in a consistent way and according to the same standards prescribed under Articles 25 and 26 of Regulation (EU) No 600/2014.