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You are viewing the version of the document as on 2023-12-01.

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COBS 4 Annex 3 Certified sophisticated investor statement

COBS 4 Annex 3RR

1This Annex belongs to COBS 4.12A.22R and COBS 4.12B.39R.

Firms must omit the notes and square brackets which appear in the following form of certificate.

COBS4_Annex_3_1

Note 1: The firm must insert the type of investment in relation to which the client wishes to be categorised for the purpose of receiving financial promotions.