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Version date: 10 October 2016 - onwards

Question 9 Client access to relevant internal conversations [Last update: 10 October 2016]

Art. 16(7) of MiFID II

MiFID II enables clients to request access to records of their telephone conversations and electronic communications with the firm. Does this right also cover internal communications within the firm?

Answer 9

MiFID II states that records kept in accordance with Article 16(7) of MiFID II shall be provided to the client involved upon request. This extends to internal conversations and communications between employees and contractors of the firm which relate to the provision of the client’s order.

Comparing proposed amendment...