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FPCOB 4.1 Application

FPCOB 4.1.1R

1This section applies to a firm:

  1. (1)

    communicating with a customer or covered individual under a new funeral plan or subsisting funeral plan in relation to its regulated funeral plan activity; and

  2. (2)

    communicating or approving a financial promotion in relation to a funeral plan contract or a regulated funeral plan activity unless that financial promotion could lawfully be communicated by an unauthorised person without approval.

FPCOB 4.1.2G

1A firm is required to comply with the financial promotion rules in relation to a financial promotion communicated by its appointed representative even where the financial promotion does not require approval because of the exemption in article 16 of the Financial Promotion Order (Exempt persons).

[Note: section 39 of the Act]