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

Extent: E+W+S+N.I.

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:
(a) the name or other designation of the client;
(b) the name or other designation of any relevant person acting on behalf of the client;
(c) the details specified in points 4, 6 and 16 to 19, of Table 1 of Annex I;
(d) the nature of the order if other than buy or sell;
(e) the type of the order;
(f) any other details, conditions and particular instructions from the client that specify how the order must be carried out;
(g) the date and exact time of the receipt of the order, or of the decision to deal, by the investment firm.

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Source: https://www.legislation.gov.uk/eur/2006/1287/article/7 (the official version)
Page: https://openlegislation.uk/eu-regulation-2006-1287/article-7
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.