COBS 11.1.1 Receipt of Client Order or Discretionary Decision to Transact

Past version: effective from 21/10/2015 - 20/10/2015
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An Authorised Person must, pursuant to Rule 6.8.2(a), make a record of the following in respect of each Client order:

(a) the identity and account number of the Client;
(b) the date and time where the instructions were received or the decision was taken by the Authorised Person 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 Instruments or their value and any price limit; and
(e) whether the instruction relates to a purchase or sale, long, short, buyer, seller or other relevant position.