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personal recommendation

5

[Note: article 52 of the MiFID implementing Directive]46

102(in CONRED) a recommendation which is advice on investments and:

  1. (a) where given on or before 31 October 2007, was given to a specific person; or
  2. (b) where given on or after 1 November 2007, was presented as suitable for the person to whom the recommendation was made, or was based on a consideration of the circumstances of that person, other than a recommendation issued exclusively through distribution channels or to the public.