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

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.

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.