{
  "url": "https://openlegislation.uk/eu-regulation-2006-1287/article-7",
  "json_url": "https://openlegislation.uk/eu-regulation-2006-1287/article-7.json",
  "legislation": "eur/2006/1287",
  "legislation_title": "Commission Regulation (EC) No 1287/2006 of 10 August 2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive (Text with EEA relevance)",
  "legislation_url": "https://openlegislation.uk/eu-regulation-2006-1287",
  "path": "article/7",
  "kind": "article",
  "number": "7",
  "heading": "(Article 13(6) of Directive 2004/39/EC)Record-keeping of client orders and decisions to deal",
  "text": "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:\n(a) the name or other designation of the client;\n(b) the name or other designation of any relevant person acting on behalf of the client;\n(c) the details specified in points 4, 6 and 16 to 19, of Table 1 of Annex I;\n(d) the nature of the order if other than buy or sell;\n(e) the type of the order;\n(f) any other details, conditions and particular instructions from the client that specify how the order must be carried out;\n(g) the date and exact time of the receipt of the order, or of the decision to deal, by the investment firm.",
  "extent": "E+W+S+N.I.",
  "status": null,
  "version": "current",
  "annotations": [],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/eur/2006/1287/article/7",
    "retrieved_at": "2026-11-01T14:53:31.975025+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}