A planned upgrade will take place on 16/05/2024 between 17:00 BST and 19:00 BST. During this time, some features that require authentication may be unavailable.
Related provisions for COBS 9.3.1
1 - 4 of 4 items.
(1) A firm must:3(a) take reasonable steps to ensure that a personal recommendation, or a decision to trade, is suitable for its client; and3(b) ensure that any life policy proposed is consistent with the client’s insurance demands and needs.3(2) When making the personal recommendation or managing his investments, the firm must obtain the necessary information regarding the client's:(a) knowledge and experience in the investment field relevant to the specific type of designated