Content Options

Content Options

View Options

GEN 4.4 Business for private customers from non-UK offices

GEN 4.4.1RRP
  1. (1)

    If, in any communication:

    1. (a)

      made to a private customer

    2. (b)

      in connection with a regulated activity carried on from an establishment of the firm (or its appointed representative) that is not in the United Kingdom;

    the firm indicates that it is an authorised person, it must also, where relevant, and with equal prominence, give the information in (2) in writing.

  2. (2)

    The information required is that in some or all respects the regulatory system applying will be different from that of the United Kingdom. The firm may also indicate the protections and complaints or compensation arrangements available under another relevant system of regulation.

  3. (3)

    A firm need not provide the information required by (1) if it has already provided it in writing to the private customer to whom the communication is made.