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Nature of obligation
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Type of record
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Summary of content
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Legislative reference
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Client assessment
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Information to clients
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Content as provided for under Article 24(4) of Directive 2014/65/EU and Articles 44 to 51 of this Regulation
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Article 24(4) of Directive 2014/65/EU
Articles 44 to 51 of this Regulation
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Client agreements
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Records as provided for under Article 25(5) of Directive 2014/65/EU
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Article 25(5) Directive 2014/65/EU
Article 58 of this Regulation
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Assessment of suitability and appropriateness
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Content as provided for under paragraphs 2 and 3 of Article 25 of Directive 2014/65/EU and Articles 54, 55 and 60 of this Regulation
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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
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Records as provided for under Articles 67 to 70 of this Regulation
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Articles 24(1) and 28(1) of Directive 2014/65/EU
Articles 67 to 70 of this Regulation
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Aggregation and allocation of trans-actions for own account
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Records as provided for under Article 69 of this Regulation
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Articles 24(1) and 28(1) of Directive 2014/65/EU
Article 69 of this Regulation
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Client Orders and transactions
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Record keeping of client orders or decision to deal
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Records as provided for under Article 74 of this Regulation
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Article 16(6) of Directive 2014/65/EU
Article 74 of this Regulation
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Record keeping of transactions and order processing
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Records as provided for under Article 75 of this Regulation
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Article 16(6) of Directive 2014/65/EU
Article 75 of this Regulation
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Reporting to clients
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Obligation in respect of services provided to clients
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Contents as provided for under Articles 59 to 63 of this Regulation
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Paragraphs 1 and 6 of Article 24 and paragraphs 1 and 6 of Article 25 of Directive 2014/65/EU
Articles 59 to 63 of this Regulation
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Safeguarding of client assets
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Client financial instruments held by an investment firm
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Records as provided for under Article 16(8) of Directive 2014/65/EU and under Article 2 of Commission Delegated Directive (EU) 2017/593
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Article 16(8) of Directive 2014/65/EU
Article 2 of Delegated Directive (EU) 2017/593
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Client funds held by an investment firm
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Records as provided for under Article 16(9) of Directive 2014/65/EU and under Article 2 of Delegated Directive (EU) 2017/593
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Article 16(9) of Directive 2014/65/EU
Article 2 of Delegated Directive (EU) 2017/593
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Use of client financial instruments
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Records provided for under Article 5 of Delegated Directive (EU) 2017/593
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Paragraphs 8, 9 and 10 of Article 16 of Directive 2014/65/EU
Article 5 of Delegated Directive (EU) 2017/593
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Communication with clients
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Information about Costs and associated charges
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Contents as provided for under Article 50 of this Regulation
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Article 24(4), point (c) of Directive 2014/65/EU
Article 50 of this Regulation
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Information about the investment firm and its services, financial instruments and safe-guarding of client assets
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Content as provided for under Articles 47, 48 and 49 of this Regulation
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Article 24(4) of Directive 2014/65/EU
Articles 47, 48 and 49 of this Regulation
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Information to clients
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Records of communication
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Article 24(3) of Directive 2014/65/EU
Article 46 of this Regulation
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Marketing communications (except in oral form)
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Each marketing communication issued by the investment firm (except in oral form) as provided under Articles 44 and 46 of this Regulation
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Article 24(3) of Directive 2014/65/EU
Articles 44 and 46 of this Regulation
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Investment advice to retail clients
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(i) The fact, time and date that investment advice was rendered and (ii) the financial instrument that was recommended (iii) the suitability report provided to the client
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Article 25(6) of Directive 2014/65/EU
Article 54 of this Regulation
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Investment research
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Each item of investment research issued by the investment firm in a durable medium
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Article 24(3) of Directive 2014/65/EU
Articles 36 and 37 of this Regulation
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Organisational requirements
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The firm’s business and internal organisation
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Records as provided for under Article 21(1), point (f) of this Regulation
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Paragraphs 2 to 10 of Article 16 of Directive 2014/65/EU
Article 21(1), point (f) of this Regulation
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Compliance reports
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Each compliance report to management body
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Article 16(2) of Directive 2014/65/EU
Article 22(2), point (c) and Article 25(2) of this Regulation
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Conflict of Interest record
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Records as provided for under Article 35 of this Regulation
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Article 16(3) of Directive 2014/65/EU
Article 35 of this Regulation
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Inducements
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The information disclosed to clients under Article 24(9) of Directive 2014/65/EU
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Article 24(9) of Directive 2014/65/EU
Article 11, 12 and 13 of Delegated Directive (EU) 2017/593
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Risk management reports
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Each risk management report to senior management
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Article 16(5) of Directive 2014/65/EU
Article 23(1), point (b) and Article 25(2) of this Regulation
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Internal audit reports
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Each internal audit report to senior management
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Article 16(5) of Directive 2014/65/EU
Article 24 and Article 25(2) of this Regulation
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Complaints-handling records
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Each complaint and the complaint handling measures taken to address the complaint
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Article 16(2) of Directive 2014/65/EU
Article 26 of this Regulation
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Records of personal transactions
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Records as provided for under Article 29(5), point (c) of this Regulation
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Article 16(2) of Directive 2014/65/EU
Article 29(5), point (c) of this Regulation
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