PDCOB 16.11 Specific record-keeping requirements: post-view services
PDCOB 16.11.1R
1A firm must keep a record of:
- (1)
the information which it provides to customers to comply with PDCOB 12.5.1R;
- (2)
the post-view services offered and the dates when they were available;
- (3)
the purpose of the post-view services offered; and
- (4)
details of changes to any post-view services included where post-view services are added or removed.
PDCOB 16.11.2R
1A firm must make an adequate record of the user testing it has conducted to comply with PDCOB 12.3.1R(2), including a record of what, if anything, was changed as a result of the testing.