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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

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You are viewing the version of the document as on 2023-03-31.

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  1. (1) (in relation to PROD 1.1.3R, PROD 1.3 and PROD 3) offering, recommending or selling an investment or providing an investment service to a client.121

[Note: recital 15 to the MiFID Delegated Directive]

  1. (2) (in relation to 140ICOBS 1, ICOBS 6B,140 an overseas non-investment insurance product,152 PROD 1.4 and PROD 4) advising on or proposing a contract of insurance to a customer.121
  2. 130132 (3) (in relation to PROD 1.4.3AG, 1.4.3BR and 1.4.3CG, PROD 1.6.1R and PROD 6) arranging a pathway investment.
  3. (4) (in relation to PROD 1.7 and PROD 7) advising on or proposing a funeral plan contract.141