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PDCOB 16.7 Specific record-keeping requirements: choice architecture

PDCOB 16.7.1R

1A firm must make and maintain a record of:

  1. (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. (2)

    how many customers select each of the choices presented to them by the firm; and

  3. (3)

    each version of the exit communications presented to customers.