Entire section
6.3. Voice and electronic communications
6.3.2. Notification to Clients

6.3.1. General requirement

An Authorised Firm must, subject to COB 6.3.4, take reasonable steps to ensure that it makes and retains:

  • (a) recordings of voice communications, including telephone conversations, other than communications where both parties are physically present; and
  • (b) copies of electronic communications, when such communications are with a Client or with another Person in relation to a Transaction, including the receiving or transmitting of related instructions.