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Status: You are viewing the version of the handbook as on 2016-02-03.

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.