Article 7 (Article 13(6) of Directive 2004/39/EC)Record-keeping of client orders and decisions to deal

An investment firm shall, in relation to every order received from a client, and in relation to every decision to deal taken in providing the service of portfolio management, immediately make a record of the following details, to the extent they are applicable to the order or decision to deal in question:

1. (a)

   the name or other designation of the client;

2. (b)

   the name or other designation of any relevant person acting on behalf of the client;

3. (c)

   the details specified in points 4, 6 and 16 to 19, of Table 1 of Annex I;

4. (d)

   the nature of the order if other than buy or sell;

5. (e)

   the type of the order;

6. (f)

   any other details, conditions and particular instructions from the client that specify how the order must be carried out;

7. (g)

   the date and exact time of the receipt of the order, or of the decision to deal, by the investment firm.