Related provisions for CONC 3.11.2
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This section applies:(1) to a financial promotion in relation to consumer credit lending, credit broking, debt counselling, debt adjusting, operating an electronic system in relation to lending1in relation to prospective borrowers or borrowers1under P2P agreements;1(2) in relation to the communication of a financial promotion that is not in writing.
A firm must not communicate a solicited or unsolicited financial promotion that is not in writing, to a customer outside the firm's premises, unless the personcommunicating it:(1) only does so at an appropriate time of the day; and(2) identifies that person and the firm represented at the outset and makes clear the purpose of the communication.[Note: paragraphs 3.9d of CBG and 3.12b of DMG]
(1) Subject to (2) and (3), this section applies to a firm in relation to:(a) the provision of information in relation to its designated investment business; and(b) the communication or approval of a financial promotion;where such information or financial promotion is addressed to, or disseminated in such a way that it is likely to be received by, a retail client.(2) This section does not apply to a firm communicating in relation to its MiFID, equivalent third country or optional
(1) Subject to (2) and (3), this section applies to a firm in relation to:1(a) [deleted]61222(b) the communication or approval of a financial promotion,61where such information or financial promotion is addressed to, or disseminated in such a way that it is likely to be received by, a retail client.1(2) This section does not apply to a firm communicating in relation to its MiFID, equivalent third country or optional exemption business633(3) This6 section does not apply in relation
(1) A firm must make an adequate record of any financial promotion it communicates or approves, other than a financial promotion made in the course of a personal visit, telephone conversation or other interactive dialogue.(2) For a telemarketing campaign, a firm must make an adequate record of copies of any scripts used.(2A) If a firmcommunicates or approves an invitation or inducement to participate in, acquire, or underwrite a non-mainstream pooled investment which is addressed
(1) A firm must ensure that a financial promotion addressed to a client is clearly identifiable as such.[Note: article 24(3)4 of MiFID and article 77 of the UCITS Directive]3(2) If2 a financial promotion relates to a2firm'sMiFID, equivalent third country or optional exemption business4, this rule does not apply to the extent that the2financial promotion is a third party prospectus.2(3) If2 a financial promotion relates2 to a2firm's business that is not 2MiFID or equivalent third
(1) 1This section applies to a firm in relation to a communication to a client, including an excluded communication, that is a marketing communication within the meaning of the UCITS Directive.(2) This section does not apply to:(a) image advertising; or(b) the instrument constituting the fund2, the prospectus, the key investor information3 or the periodic reports and accounts of either a UCITS scheme or an EEA UCITS scheme.2[Note: recital (58) of the UCITS Directive]