COBS 16.4.1

The following records must be included in the Resolution Pack of an Authorised Person conducting Investment Business:

(a) Rules 2.7.1 and 3.7.1(d) (records of Client classification and Client agreements);
(b) Rule 15.4.3 (master list of all Client Accounts);
(c) Rule 15.4.4 and Rule 15.4.5 (adequate records and Client's written permission);
(d) Rules 15.4.5(b) (records of a Client's Investments);
(e) Rule 15.5.1(a) (assessment of appropriateness of Third-Party Agent); and
(f) Rule 15.9.1 (reconciliation).