COBS 11.1.2 Executing a Transaction

An Authorised Person must, pursuant to Rule 6.8.2(b), make a record of the following in respect of each Transaction:

(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 where the Transaction was Executed;
(d) the identity of the Employee executing the Transaction;
(e) the Investment, including the number of instruments or their value and price; and
(f) whether the Transaction was a purchase or a sale, long, short, buyer, seller or other relevant position.