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PDCOB 16.11 Specific record-keeping requirements: post-view services

PDCOB 16.11.1R

1A firm must keep a record of:

  1. (1)

    the information which it provides to customers to comply with PDCOB 12.5.1R;

  2. (2)

    the post-view services offered and the dates when they were available;

  3. (3)

    the purpose of the post-view services offered; and

  4. (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.