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New version applies from 14/12/2017 — introduced by Commission Delegated Regulation (EU) 2017/2294. 96 provisions change. Later versions: 11/10/2019, 29/03/2021, 22/08/2021, 02/08/2022. Article 74 changes in this version: compare with the current text.

Article 74 - Record keeping of client orders and decision to deal (Article 16(6) of Directive 2014/65/EU)

Article 74
Record keeping of client orders and decision to deal (Article 16(6) of Directive 2014/65/EU)

An investment firm shall, in relation to every initial order received from a client and in relation to every initial decision to deal taken, immediately record and keep at the disposal of the competent authority at least the details set out in Section 1 of Annex IV to this Regulation to the extent they are applicable to the order or decision to deal in question.

Where the details set out in Section 1 of Annex IV to this Regulation are also prescribed under Articles 25 and 26 of Regulation (EU) No 600/2014, these details should be maintained in a consistent way and according to the same standards prescribed under Articles 25 and 26 of Regulation (EU) No 600/2014.

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