Article 7

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) · European Union

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: the name or other designation of the client; the name or other designation of any relevant person acting on behalf of the client; the details specified in points 4, 6 and 16 to 19, of Table 1 of Annex I; the nature of the order if other than buy or sell; the type of the order; any other details, conditions and particular instructions from the client that specify how the order must be carried out; 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: EUR-Lex (Cellar) · retrieved 2026-10-30 · Text as adopted (Official Journal); later amendments are not incorporated in this text.