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  1. Point in time
    2016-07-17

COBS 10.6 When a firm need not assess appropriateness

COBS 10.6.1GRP

A firm need not assess appropriateness if it is receiving or transmitting an order in relation to which it has assessed suitability under COBS 9 (Suitability (including basic advice)).

COBS 10.6.2GRP

A firm may not need to assess appropriateness if it is able to rely on a recommendation made by an investment firm (see COBS 2.4.5 G (Reliance on other investment firms: MiFID and equivalent business).