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Published]","attribution":{"prepared_by":"ESMA","published_by":"ESMA","published_in":"ESMA Q&A tool","document_type":"qa_answer","legal_nature":"not_legislation","addressees":"not stated in the document","dates":{"published_on":"2016-10-10","question_submitted_on":"2016-10-10","locators":{"published_on":"ESMA Q&A Excel export ESMA_QA_1780, column 'Esma responses', date line","question_submitted_on":"ESMA Q&A Excel export ESMA_QA_1780, column 'Date of submission'"}},"adoption":null}},"provenance":{"official_url":"https://www.esma.europa.eu/publications-data/questions-answers/1780","check":{"result":"matched","checked_at":"2026-10-26","against":"the ESMA publication"},"repo_path":"spaces/mifid-ii/level-3/q-and-a/esma/esma-qa-1780-record-keeping.md","body_sha256":"cc83ad6518f06fb9131b3d3375d75799c454a34ca317e5f323a31f910e90b095"},"units":[],"markdown":"---\ntitle: \"ESMA Q&A 1780 — Q&A — Record keeping [Answer Published]\"\nshortTitle: \"ESMA Q&A 1780 — Q&A — Record keeping [Answer Published]\"\nanswer_id: ESMA_QA_1780\ntopic: \"Record keeping\"\nstatus: \"Answer Published\"\ntype: qa\ninstrument_type: qa\nauthority: ESMA\nbinding: false\nbinding_character: non_binding\nlegal_status: in_force\nregulation: \"MiFID II\"\nmifid_level3: true\nmica_level2: false\nlegal_basis: \"MiFID II\"\ndate: 10 October 2016\nsource_link: https://www.esma.europa.eu/publications-data/questions-answers/1780\nlifecycle: \"Answer Published\"\ntext_version: \"ESMA Q&A register, 10 October 2016\"\nsource_url: \"https://www.esma.europa.eu/publications-data/questions-answers/1780\"\ncheck_status: matched\nverified: true\nlast_checked: 2026-10-26\nchecked_against: \"the ESMA publication\"\nsource:\n  prepared_by: \"ESMA\"\n  published_by: \"ESMA\"\n  published_in: \"ESMA Q&A tool\"\n  evidence:\n    prepared_by: \"ESMA Answer\"\n    locator: \"ESMA Q&A entry ESMA_QA_1780: field 'ESMA Answer', no 'Answer provided by' line\"\ndocument_type: \"qa_answer\"\nlegal_nature: \"not_legislation\"\naddressees: \"not stated in the document\"\ndates:\n  published_on: \"2016-10-10\"\n  question_submitted_on: \"2016-10-10\"\n  locators:\n    published_on: \"ESMA Q&A Excel export ESMA_QA_1780, column 'Esma responses', date line\"\n    question_submitted_on: \"ESMA Q&A Excel export ESMA_QA_1780, column 'Date of submission'\"\nlifecycle_label: \"Answer Published\"\n---\n\n**Answer by ESMA, published in its Q&A tool · not legislation · published 10 Oct 2016 [Answer Published]**\n\n*Answer Published · ESMA Q&A register, 10 October 2016 · Checked against the ESMA publication on 26 Oct 2026 · [Official source](https://www.esma.europa.eu/publications-data/questions-answers/1780)*\n\n| | |\n|---|---|\n| **Full title** | ESMA Q&A 1780 — Q&A — Record keeping \\[Answer Published\\] |\n| **Prepared by** | ESMA |\n| **Published by** | ESMA, in the ESMA Q&A tool |\n| **Reference** | ESMA_QA_1780 |\n| **Document type** | Q&A |\n| **Legal nature** | Not legislation |\n| **Addressees** | Not stated in the document |\n| **Dates** | Published 10 October 2016; question submitted 10 October 2016 |\n| **Legal basis** | MiFID II |\n| **Related instruments** | None recorded |\n| **Text on this page** | Word for word — the full text of the ESMA publication |\n\n**Record keeping**\n\n### Question\n\nHow should firms prepare copies of records that have been encrypted and which have been requested by clients, competent authorities or other competent third parties?\n\n***\n\n### Answer\n\n\\[ESMA35-43-349 MiFID II Q&As on Investor protection Ch.4, question 1\\]\n\nFor records that are captured by the requirements under Article 16(6) and 16(7) of MiFID II, ESMA expects firms to have the organisational and administrative capabilities to convert any encrypted data into an unencrypted format.\n\nESMA expects firms to deliver or make available copies of these records in an unencrypted and easily analysable format, or provide the means that such data can be unencrypted when requested by the client, competent authority or other competent third party.\n\n***\n\n**Source:** [ESMA original document](https://www.esma.europa.eu/publications-data/questions-answers/1780)\n"}