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Status: You are viewing the version of the handbook as on 2018-04-01.

COBS 10A.6 When a firm need not assess appropriateness

COBS 10A.6.1G

A firm need not assess appropriateness if it is receiving or transmitting an order in relation to which it has assessed suitability under COBS 9A (Suitability (MiFID provisions1)).

COBS 10A.6.2G

A firm may not need to assess appropriateness if it is able to rely on a recommendation made by an investment firm (see COBS 2.4.5G (Reliance on other investment firms: MiFID and equivalent business)).