Related provisions for MCOB 9.7.3

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MCOB 13.4.3GRP
(1) A firm may provide the information in MCOB 13.4.1 R (2), (3), (4), (5) and (6) orally, for example, by telephone, but must provide the information in a durable medium with a copy of the FSA information sheet on mortgage arrearswithin 15 business days of becoming aware of the customer's account falling into arrears.(2) Where a firm provides the information in MCOB 13.4.1 R when a payment shortfall occurs but before the customer's account falls into arrears, it need not repeat
COBS 11.6.12RRP
An investment manager that enters into arrangements under this section must make adequate prior disclosure to customers concerning the receipt of goods or services that relate to the execution of trades or the provision of research. This prior disclosure should form part of the summary form disclosure under the rule on inducements (COBS 2.3.1 R).
DISP 4.2.7RRP
(1) None of the following is to be liable in damages for anything done or omitted in the discharge, or purported discharge, of any functions in connection with the Voluntary Jurisdiction:(a) FOS Ltd;(b) any member of its governing body;(c) any member of its staff;(d) any person acting as an Ombudsman for the purposes of the Financial Ombudsman Service.(2) Paragraph (1) does not apply:(a) where the act or omission is shown to have been in bad faith; or(b) so as to prevent an award
SUP 12.6.13RRP
7A firm must ensure that its tied agent discloses the capacity in which he is acting and the firm he is representing when contacting a client or potential client or before dealing with a client or potential client.[Note: paragraph 1 of article 23(2) of MiFID]
MCOB 1.3.2RRP
The territorial scope of MCOB 3 (Financial promotion) is set out in MCOB 3.3 (Application: where?) rather than in this section.
MCOB 10.3.8RRP
(1) In relation to a lifetime mortgage2, where the APR is calculated for the purpose of a financial promotion3 it must be assumed that the credit is being provided for a period of 15 years beginning with the relevant date.23(2) In relation to a lifetime mortgage2, where the APR is calculated for the purpose of an illustration, the period for which the credit is to be provided must be calculated in accordance with MCOB 9.4.10 R or MCOB 9.4.12 R.2(3) Where, in any other case, the
PERG 8.7.1GRP
A communication must be an invitation or inducement to engage in investment activity for the restriction in section 21 to apply. Section 21(8) defines this phrase as:(1) entering or offering to enter into an agreement the making or performance of which by either party is a controlled activity; or(2) exercising any rights conferred by a controlled investment to acquire, dispose of, underwrite or convert a controlled investment.
MAR 1.10.4CRP
Behaviour conforming with any of the rules of the Takeover Codeabout the timing, dissemination or availability, content and standard of care applicable to a disclosure, announcement, communication or release of information, does not, of itself, amount to market abuse, if:1(1) the rule is one of those specified in the table in MAR 1.10.5 C;(2) the behaviour is expressly required or expressly permitted by the rule in question (the notes for the time being associated with the rules
COBS 14.2.15RRP
A key features document for an HMRC allocated CTF must be provided as soon as reasonably possible after the CTF has been opened.
COBS 16.6.4RRP
(1) When a firm provides information in accordance with this section, it must provide the information in a durable medium, unless (2) applies.(2) If the contract is being made by telephone, the firm may give the information orally to the customer. If the customer enters into the contract, a written version of the required information must be sent to the customer within five business days of the contract being entered into.
COBS 10.2.8GRP
If a firm is satisfied that the client has the necessary experience and knowledge in order to understand the risks involved in relation to the product or service, there is no duty to communicate this to the client. If the firm does so, it must not do so in a way that amounts to making a personal recommendation unless it complies with the rules in COBS 9 on suitability.
COBS 4.2.5GRP
A firm designing a financial promotion relating to a deposit may find it helpful to take account of the British Bankers' Association/Building Societies Association Code of Conduct for the Advertising of Interest Bearing Accounts.
CASS 5.1.1RRP
(1) CASS 5.1 to CASS 5.6 apply, subject to (2), (3) and CASS 5.1.3 R to CASS 5.1.6 R, to a firm that receives or holds money in the course of or in connection with its insurance mediation activity.(2) CASS 5.1 to CASS 5.6 do not, subject to (3), apply:(a) to a firm to the extent that it acts in accordance with the non-directive client money chapter or the MiFID client money chapter4; or4(b) to a firm in carrying on an insurance mediation activity which is in respect of a reinsurance
MCOB 1.2.10RRP
MCOB does not apply to an authorised professional firm with respect to its non-mainstream regulated activities except for:(1) MCOB 2.2 (Communications);(2) MCOB 3 (Financial promotion); and
GEN 4.3.1RRP
A firm must take reasonable care to ensure that every letter (or electronic equivalent) which it or its employees send to a retail client4, with a view to or in connection with the firm carrying on a regulated activity, includes the disclosure in GEN 4 Annex 1 R.14