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Status: You are viewing the version of the handbook as on 2005-06-30.

COB 5A.1 Providing basic advice on stakeholder products

Application and Purpose

COB 5A.1.1G

1This chapter sets out what firms must do when providing basic advice on a stakeholder product. The rules in the chapter are designed to enable firms to provide simple, quick and limited advice to persons who may be interested in buying a stakeholder product. The rules assume that firms will provide basic advice to persons who have no practical knowledge of investing in stakeholder products or investments.