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COBS 10.1 Application

COBS 10.1.1RRP

[deleted]3

1
COBS 10.1.2RRP

This chapter applies to a firm which arranges or deals in relation to a non-readily realisable security,2 derivative or a warrant with or for a retail client, other than in the course of MiFID or equivalent third country business,3 and the firm is aware, or ought reasonably to be aware, that the application or order is in response to a direct offer financial promotion.

COBS 10.1.3RRP

[deleted]3

Related rules

COBS 10.1.4GRP

A firm that is carrying on a regulated activity on a non-advised basis, whether or not the rules in this chapter apply to its activities, should also consider whether other rules in COBS apply.3