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  2. Point in time
    2016-04-04

corporate finance contact

(when a firm carries on regulated activities 52 with or for a person in the course of or as a result of either carrying on corporate finance business with or for a client, or carrying on corporate finance business for the firm's own account) that person in connection with that regulated activity 52 if:

  1. (a) the firm does not behave in a way towards that person which might reasonably be expected to lead that person to believe that he is being treated as a client; and
  2. (b) the firm clearly indicates to that person that it:
    1. (i) is not acting for him; and
    2. (ii) will not be responsible to him for providing protections afforded to clients of the firm or be advising him on the relevant transaction.3