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FPCOB 4.1 Application

FPCOB 4.1.1R
FPCOB 4.1.2G

1A firm is required to comply with the financial promotion rules in relation to a financial promotion communicated by its appointed representative even where the financial promotion does not require approval because of the exemption in article 16 of the Financial Promotion Order (Exempt persons).

[Note: section 39 of the Act]