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COB A1.1.1

An Authorised Firm must, pursuant to COB Rule 6.7.4(1), make a record of the following:

(a) the identity and account number of the Client;
(b) the date and time in the jurisdiction in which the instructions were received or the decision was taken by the Authorised Firm to deal;
(c) the identity of the Employee who received the instructions or made the decision to deal;
(d) the Investment, including the number of or its value and any price limit; and
(e) whether the instruction relates to a purchase or sale.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]