Related provisions for COBS 4.8.1
1 - 5 of 5 items.
(1) Subject to (2) and (3), this section applies to financial promotions that relate to the business of an overseas person.(2) This section does not apply to a firm in relation to its MiFID or equivalent third country business.(3) This section does not apply to a communication by a firm other than in relation to its MiFID or equivalent third country business:(a) to the extent that it is an excluded communication;(b) to the extent that it is a prospectus advertisement to which
(1) A firm must ensure that a financial promotion addressed to a client is clearly identifiable as such.[Note: article 19(2) of MiFID](2) In the case of a financial promotion that relates to the firm'sMiFID or equivalent third country business, this rule does not apply to the extent that a financial promotion is a third party prospectus.(3) In the case of a financial promotion that does not relate to the firm'sMiFID or equivalent third country business, this rule applies to communicating
(1) A firm must make an adequate record of any financial promotion it communicates or approves, other than a financial promotion made in the course of a personal visit, telephone conversation or other interactive dialogue.(2) For a telemarketing campaign, a firm must make an adequate record of copies of any scripts used.(3) A firm must retain the record in relation to a financial promotion relating to:(a) a pension transfer, pension opt-out or FSAVC, indefinitely;(b) a life policy,