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---
title: "ESMA Q&A 1776 — Q&A — Recording of telephone conversations and electronic [Answer Published]"
shortTitle: "ESMA Q&A 1776 — Q&A — Recording of telephone conversations and electronic [Answer Published]"
answer_id: ESMA_QA_1776
topic: "Recording of telephone conversations and electronic communications"
status: "Answer Published"
type: qa
instrument_type: qa
authority: ESMA
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binding_character: non_binding
legal_status: in_force
regulation: "MiFIR"
mifir_level3: true
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legal_basis: "MiFIR"
date: 10 October 2016
source_link: https://www.esma.europa.eu/publications-data/questions-answers/1776
lifecycle: "Answer Published"
text_version: "ESMA Q&A register, 10 October 2016"
source_url: "https://www.esma.europa.eu/publications-data/questions-answers/1776"
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last_checked: 2026-10-26
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document_type: "qa_answer"
legal_nature: "not_legislation"
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    question_submitted_on: "ESMA Q&A Excel export ESMA_QA_1776, column 'Date of submission'"
lifecycle_label: "Answer Published"
---

**Answer by ESMA, published in its Q&A tool · not legislation · published 10 Oct 2016 [Answer Published]**

*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/1776)*

| | |
|---|---|
| **Full title** | ESMA Q&A 1776 — Q&A — Recording of telephone conversations and electronic \[Answer Published\] |
| **Prepared by** | ESMA |
| **Published by** | ESMA, in the ESMA Q&A tool |
| **Reference** | ESMA_QA_1776 |
| **Document type** | Q&A |
| **Legal nature** | Not legislation |
| **Addressees** | Not stated in the document |
| **Dates** | Published 10 October 2016; question submitted 10 October 2016 |
| **Legal basis** | MiFIR |
| **Related instruments** | None recorded |
| **Text on this page** | Word for word — the full text of the ESMA publication |

**Recording of telephone conversations and electronic communications**

### Question

Are employees or contractors permitted to use mobile devices to enable them to undertake activities relating to transactions concluded when dealing on own account and the provision of client order services?

***

### Answer

\[ESMA 35-43-349 MiFID II Q&As on Investor protection, Ch 3, question 10\]

Firms may permit relevant persons to use mobile devices to undertake activities relating to transactions concluded when dealing on own account and the provision of client order services. This includes devices owned by the firm which are expressly authorised for use and devices which are personally owned and used to make relevant conversations. Whatever the circumstance, a firm shall take all reasonable steps to prevent a relevant person from making, sending or receiving relevant telephone conversations and electronic communications on devices which the firm is unable to record or copy.

Firms are required to establish, implement and maintain an effective recording of telephone conversations and electronic communications policy. This policy should therefore cover the requirements relating to mobile devices.

For example, the policy should cover, amongst other factors, the fact that data must be retained for a period of at least 5 years, relevant persons should be prevented from being able to delete records. It should cover what happens to the data/device if a relevant person leaves a firm and what happens in the event that the device is lost or stolen. Additionally, it should also stipulate the frequency of transferring data from the mobile device (whether privately owned or expressly authorised for use by the firm) to the firm’s own data retention database.

***

**Source:** [ESMA original document](https://www.esma.europa.eu/publications-data/questions-answers/1776)