+Article 76 9.

Article 76 9.

Investment firms shall record in a durable medium all relevant information related to relevant face-to-face conversations with clients. The information recorded shall include at least the following:

(a) 

date and time of meetings;

(b) 

location of meetings;

(c) 

identity of the attendees;

(d) 

initiator of the meetings; and

(e) 

relevant information about the client order including the price, volume, type of order and when it shall be transmitted or executed.

1. Resumen

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1.1 Referencias

1.2 Requisitos identificados

1.3 Estándares relacionados

2. Requisitos identificados

Requisitos

3. Estándares relacionados

Estándares