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by ESMA, published in its Q&A tool · not legislation · published 18 Jun 2025 [Answer 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":"2025-06-18","question_submitted_on":"2025-01-27","locators":{"published_on":"ESMA Q&A Excel export ESMA_QA_2415, column 'Esma responses', date line","question_submitted_on":"ESMA Q&A Excel export ESMA_QA_2415, column 'Date of submission'"}},"adoption":null}},"provenance":{"official_url":"https://www.esma.europa.eu/publications-data/questions-answers/2415","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-2415-scope-of-the-obligation-to-document-face-to-face.md","body_sha256":"993762d091b1cedeed8ecc09da417c12e055fd30a653a5fdef771a9e6b4441a9"},"units":[],"markdown":"---\ntitle: \"ESMA Q&A 2415 — Q&A — Scope of the obligation to document face-to-face [Answer Published]\"\nshortTitle: \"ESMA Q&A 2415 — Q&A — Scope of the obligation to document face-to-face [Answer Published]\"\nanswer_id: ESMA_QA_2415\ntopic: \"Recording of telephone conversations and electronic communications\"\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: 27 January 2025\nsource_link: https://www.esma.europa.eu/publications-data/questions-answers/2415\nlifecycle: \"Answer Published\"\ntext_version: \"ESMA Q&A register, 27 January 2025\"\nsource_url: \"https://www.esma.europa.eu/publications-data/questions-answers/2415\"\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_2415: 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: \"2025-06-18\"\n  question_submitted_on: \"2025-01-27\"\n  locators:\n    published_on: \"ESMA Q&A Excel export ESMA_QA_2415, column 'Esma responses', date line\"\n    question_submitted_on: \"ESMA Q&A Excel export ESMA_QA_2415, column 'Date of submission'\"\nlifecycle_label: \"Answer Published\"\n---\n\n**Answer by ESMA, published in its Q&A tool · not legislation · published 18 Jun 2025 [Answer Published]**\n\n*Answer Published · ESMA Q&A register, 27 January 2025 · Checked against the ESMA publication on 26 Oct 2026 · [Official source](https://www.esma.europa.eu/publications-data/questions-answers/2415)*\n\n| | |\n|---|---|\n| **Full title** | ESMA Q&A 2415 — Q&A — Scope of the obligation to document face-to-face \\[Answer Published\\] |\n| **Prepared by** | ESMA |\n| **Published by** | ESMA, in the ESMA Q&A tool |\n| **Reference** | ESMA_QA_2415 |\n| **Document type** | Q&A |\n| **Legal nature** | Not legislation |\n| **Addressees** | Not stated in the document |\n| **Dates** | Published 18 June 2025; question submitted 27 January 2025 |\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**Scope of the obligation to document face-to-face conversations with clients**\n\n### Question\n\nShould face-to-face conversations with clients be recorded if the client order is placed in a written form or contract signed during the meeting?\n\n***\n\n### Answer\n\nSubparagraph 7 of Article 16(7) of MiFID II stipulates that when client orders are placed through channels other than telephone, they must be documented in a durable medium[^1]. Subparagraph 7 mentions as examples of acceptable formats: mail, fax, email, or documentation of clients orders made at meetings and that, in particular, the content of face-to-face interactions may be recorded through written minutes or notes.\n\nIn addition, Article 76(9) of the MiFID Delegated Regulation[^2] require that such records include some minimum information listed in such article.\n\nTherefore, if a client order is placed during a face-to-face meeting and documented with a written form or contract signed during that meeting, the investment firm shall comply with Article 76(9) of the MiFID II Delegated Regulation and ensure that such written form or contract includes at least all the information listed in Article 76(9) of the MiFID II Delegated Regulation. If the written form or contract does not contain all the information specified in Article 76(9), the firm must ensure that the missing details are documented in additional records[^3].\n\n[^1]: As defined in Article 4(62) of MiFID II.\n\n[^2]: Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive.\n\n[^3]: Firms are reminded that Article 74 of MiFID II Delegated Regulation concerning record keeping requirements of client orders and decisions to deal also applies.\n\n***\n\n**Source:** [ESMA original document](https://www.esma.europa.eu/publications-data/questions-answers/2415)\n"}