Article 73 | Delegated Regulation 2017/565 | judict

Updated 17/04/2025

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Version from: 02/08/2022

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MiFID II Tool Delegated Regulation 2017/565

Article 73

Article 73 - Delegated Regulation 2017/565

Article 73

Record keeping of rights and obligations of the investment firm and the client

(Article 25(5) of Directive 2014/65/EU)

Records which set out the respective rights and obligations of the investment firm and the client under an agreement to provide services, or the terms on which the firm provides services to the client, shall be retained for at least the duration of the relationship with the client.

Table of contents

CHAPTER I - SCOPE AND DEFINITIONS (Article 1-20)

CHAPTER II - ORGANISATIONAL REQUIREMENTS (Article 21-43)

CHAPTER III - OPERATING CONDITIONS FOR INVESTMENT FIRMS (Article 44-79)

SECTION 1 - Information to clients and potential clients (Article 44-51)

SECTION 2 - Investment advice (Article 52-53)

SECTION 3 - Assessment of suitability and appropriateness (Article 54-58)

SECTION 4 - Reporting to clients (Article 59-63)

SECTION 5 - Best execution (Article 64-66)

SECTION 6 - Client order handling (Article 67-70)

SECTION 7 - Eligible counterparties (Article 71)

SECTION 8 - Record-keeping (Article 72-76)Article 72 - Retention of records (Article 16(6) of Directive 2014/65/EU) Q&AGL Article 73 - Record keeping of rights and obligations of the investment firm and the client (Article 25(5) of Directive 2014/65/EU)Article 74 - Record keeping of client orders and decision to deal (Article 16(6) of Directive 2014/65/EU) Q&A Article 75 - Record keeping of transactions and order processing (Article 16(6) of Directive 2014/65/EU) Q&A Article 76 - Recording of telephone conversations or electronic communications (Article 16(7) of Directive 2014/65/EU) Q&AGL

SECTION 9 - SME growth markets (Article 77-79)

CHAPTER IV - OPERATING OBLIGATIONS FOR TRADING VENUES (Article 80-82)

CHAPTER V - POSITION REPORTING IN COMMODITY DERIVATIVES (Article 83)

CHAPTER VI - DATA PROVISION OBLIGATIONS FOR DATA REPORTING SERVICE PROVIDERS (Article 84-89)

CHAPTER VII - COMPETENT AUTHORITIES AND FINAL PROVISIONS (Article 90)

CHAPTER VIII - FINAL PROVISIONS (Article 91)

ANNEX I Q&A ANNEX II Q&A ANNEX III ANNEX IV