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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.

corporate finance contact

    (when a firm carries on regulated activities 52 with or for a person in the course of or as a result of either carrying on corporate finance business with or for a client, or carrying on corporate finance business for the firm's own account) that person in connection with that regulated activity 52 if:

      1. (a) the firm does not behave in a way towards that person which might reasonably be expected to lead that person to believe that he is being treated as a client; and
      1. (b) the firm clearly indicates to that person that it:
        1. (i) is not acting for him; and
        1. (ii) will not be responsible to him for providing protections afforded to clients of the firm or be advising him on the relevant transaction.3