COB A1.1.2

An Authorised Firm must, pursuant to COB Rule 6.7.4(2), make a record of the following:

(a) the identity and account number of the Client for whom the Transaction was Executed, or an indication that the Transaction was an Own Account Transaction;
(b) the name of the counterparty;
(c) the date and time in the jurisdiction in which the Transaction was Executed;
(d) the identity of the Employee executing the Transaction;
(e) the Investment, including the number of or its value and price; and
(f) whether the Transaction was a purchase or a sale.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]