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  2. Point in time
    2024-11-19

direct offer financial promotion

40a financial promotion that contains:

  1. (a) an offer by the firm or another person to enter into a controlled agreement with any person who responds to the communication; or
  2. (b) an invitation to any person who responds to the communication to make an offer to the firm or another person to enter into a controlled agreement;

and which specifies the manner of response or includes a form by which any response may be made.In relation to MiFID or equivalent third country business "controlled agreement" includes an agreement to carry on an ancillary service.