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COBS 4.11A Record keeping: MiFID, equivalent third country and optional exemption business

23/10/2025R

This section applies to a firm in relation to its MiFID, equivalent third country or optional exemption business.

23/10/2025G

A firm to which SYSC 9 applies is required to keep records of all services, activities and transactions undertaken by it.

23/10/2025R

In complying with the requirements in SYSC 9, a firm to which those rules apply must keep a record of:

(1) each communication to a client; and

(2) each marketing communication issued by the firm (other than in oral form).