+Article 72
---+Article 72 1.
---+Article 72 2.
---+Article 72 3.
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Article 72
1. Overview
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Regulation |
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Article 72 1.
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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.
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Article 72 2.
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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.
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Article 72 3.
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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.
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1.1 References
1.2 Identified Requirements
1.3 Related Standards
2. Identified Requirements
Requirements
| Source |
Requirement |
3. Related Standards
Standards
| Source |
Requirement |
- Builddate: 02.08.2022 00:00:00 -Doknr: CELEX:32017R0565
- EULAW -
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