PDCOB 16.7 Specific record-keeping requirements: choice architecture
PDCOB 16.7.1R
1A firm must make and maintain a record of:
- (1)
all versions or iterations of the choice architecture, including the language and format used and the dates each version or iteration was made available to customers;
- (2)
how many customers select each of the choices presented to them by the firm; and
- (3)
each version of the exit communications presented to customers.