Article 64
Recording of portfolio transactions
1.
AIFMs shall make without delay for each portfolio transaction relating to AIFs it manages a record of information which is sufficient to reconstruct the details of the order and the executed transaction or of the agreement.
2.
With regard to portfolio transactions on an execution venue, the record referred to in paragraph 1 shall include the following information:
(a)
the name or other designation of the AIF and of the person acting for the account of the AIF;
(b)
the asset;
(c)
where relevant, the quantity;
(d)
the type of the order or transaction;
(e)
the price;
(f)
for orders, the date and exact time of the transmission of the order and the name or other designation of the person to whom the order was transmitted, or for transactions, the date and exact time of the decision to deal and the execution of the transaction;
(g)
where applicable, the name of the person transmitting the order or executing the transaction;
(h)
where applicable, the reasons for the revocation of an order;
(i)
for executed transactions the counterparty and execution venue identification.
3.
With regard to portfolio transactions by the AIF outside an execution venue, the record referred to in paragraph 1 shall include the following information:
(a)
the name or other designation of the AIF;
(b)
the legal and other documentation that forms the basis of the portfolio transaction, including in particular the agreement as executed;
(c)
the price.
4.
For the purposes of paragraphs 2 and 3, an execution venue shall include a systematic internaliser as referred to in point (7) of Article 4(1) of Directive 2004/39/EC, a regulated market as referred to in point (14) of Article 4(1) of that Directive, a multilateral trading facility as referred to in point (15) of Article 4(1) of that Directive, a market maker as referred to in point (8) of Article 4(1) of that Directive or other liquidity provider or an entity that performs a similar function in a third country to the functions performed by any of the foregoing.