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You are viewing the version of the document as on 2022-12-16.

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    2022-12-16

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

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