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suitability report

    49a report which a firm must provide to its client160 which, among other things, explains why the firm has concluded that a recommended transaction is suitable for the client and which is provided pursuant to:160

      1. (a) COBS 9.4 (Suitability reports) where the firm is carrying on designated investment business other than any MiFID, equivalent third country or optional exemption business;160
      1. (b) article 54(12) of the MiFID Org Regulation where the firm is carrying on MiFID business;160
      1. (c) GEN 2.2.22AR and COBS 9A.3.3EU where the firm is carrying on the equivalent business of a third country investment firm;160
      1. (d) COBS 9A.1.2R and COBS 9A.3.3EU where the firm is carrying on MiFID optional exemption business.160