Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

CONC 3.11 Not approving certain financial promotions

CONC 3.11.1RRP

Requirement not to approve certain financial promotions

CONC 3.11.2RRP

A firm must not approve a financial promotion to be made in the course of a personal visit, telephone conversation or other interactive dialogue.

CONC 3.11.3GRP

CONC 3.11.2 R does not prevent the communication by a firm itself (i.e. a firm with a permission) of a financial promotion. A firm's approval of a financial promotion concerns approval for the communication of the promotion by an unauthorised person which is prevented by CONC 3.11.2 R.