Minimum list of records to be kept by investment firms depending upon the nature of their activities
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Nature of obligation |
Type of record |
Summary of content |
Legislative reference |
|---|---|---|---|
|
Client assessment |
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|
Information to clients |
Content as provided for under Article 24(4) of Directive 2014/65/EU and Articles 44 to 51 of this Regulation |
Article 24(4) of Directive 2014/65/EU Articles 44 to 51 of this Regulation |
|
|
Client agreements |
Records as provided for under Article 25(5) of Directive 2014/65/EU |
Article 25(5) Directive 2014/65/EU Article 58 of this Regulation |
|
|
Assessment of suitability and appropriateness |
Content as provided for under paragraphs 2 and 3 of Article 25 of Directive 2014/65/EU and Articles 54, 55 and 56 of this Regulation |
Article 25(2) and (3) of Directive 2014/65/EU Articles 54, 55 and 56 of this Regulation |
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|
Order handling |
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Client order-handling - Aggregated transactions |
Records as provided for under Articles 67 to 70 of this | ||