Related provisions for MCOB 4.8A.16

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SYSC 10A.1.7RRP
A firm must take all reasonable steps to prevent an employee or contractor from making, sending, or receiving relevant telephone conversations and electronic communications on privately-owned equipment which the firm is unable to record or copy.[Note: article 16(7) of MiFID, eighth subparagraph]
SYSC 10A.1.8RRP
The telephone conversations and electronic communications referred to in SYSC 10A.1.6R include those that are intended to result in the performance of the activities in financial instruments referred to in SYSC 10A.1.1R(2), even if those conversations or communications do not in fact result in the performance of such activities.[Note: article 16(7) of MiFID, second subparagraph]
SYSC 10A.1.13RRP
Client instructions given otherwise than by telephone must be made in a durable medium such as by mail, faxes, emails or documentation of client instructions issued at meetings. In particular, the content of relevant face-to-face conversations with a client may be recorded by using written minutes or notes. [Note: article 16(7) of MiFID, seventh subparagraph]
CONC 3.2.2GRP
The Privacy and Electronic Communications (EC Directive) Regulations 2003 apply to unsolicited telephone calls, fax messages and electronic mail messages for direct marketing purposes. The Information Commissioner’s Office has produced guidance on the Regulations.
CASS 6.2.11ERP
(1) 6Taking reasonable steps in CASS 6.2.10R (4) includes following this course of conduct:(a) determining, as far as reasonably possible, the correct contact details for the relevant client;(b) writing to the client at the last known address either by post or by electronic mail to inform it: (i) of the name of the firm with which the client first deposited the safe custody asset in question; (ii) of the firm's intention to pay the safe custody asset to charity under CASS 6.2.10
CASS 6.2.12GRP
6For the purpose of CASS 6.2.11E (1)(a), a firm may use any available means to determine the correct contact details for the relevant client, including telephoning the client, searching internal records, media advertising, searching public records, mortality screening, using credit reference agencies or tracing agents.
ICOBS 3.2.5RRP
An unsolicited commercial communication sent by e-mail by a firm established in the United Kingdom must be identifiable clearly and unambiguously as an unsolicited commercial communication as soon as it is received by the recipient.[Note: article 7(1) of the E-Commerce Directive]
CONC 2.8.5RRP
An unsolicited commercial communication sent by e-mail by a firm established in the UK must be identifiable clearly and unambiguously as an unsolicited commercial communication as soon as it is received by the recipient.[Note: article 7(1) of the E-Commerce Directive]
CASS 7.11.52ERP
(1) Taking reasonable steps in CASS 7.11.50 R (3) includes following this course of conduct:(a) determining, as far as reasonably possible, the correct contact details for the relevant client;(b) writing to the client at the last known address either by post or by electronic mail to inform it of the firm's intention to no longer treat the client money balance as client money and to pay the sums concerned to charity if the firm does not receive instructions from the client within
CASS 6.7.4ERP
(1) Reasonable steps in CASS 6.7.2R(1)(b) include the following course of conduct:(a) determining, as far as reasonably possible, the correct contact details for the relevant client;(b) for a client for whom the firm has evidence that it was a professional client for the purposes of the custody rules at the time of the failure:(i) writing to the client at its last known address either by post or by electronic mail: (A) to inform it of the firm’s intention to dispose of the safe
MCOB 5A.3.6GRP
A firm may satisfy MCOB 5A.3.5 R by drawing the consumer's attention orally to the importance of reading and understanding the ESIS. For example, in a face-to-face meeting, or by referring to its importance in a covering letter or electronic communication, or other written information that accompanies the ESIS.
COBS 4.10.4RRP
A firm must not approve a financial promotion to be made in the course of a personal visit, telephone conversation or other interactive dialogue.
SUP 2.4.3GRP
The FCA may carry out mystery shopping:(1) together with a programme of visits to obtain information about a particular practice, looking at a particular issue across a range of firms, when the FCA may advise the firms of the issues beforehand; the practice being scrutinised may be that of firms or a class of firms in carrying on regulated activities or ancillary activities or in communicating or approving financial promotions; (2) together with focused visits (concentrating on
CONC 8.2.4RRP
A debt management firm must prominently include: (1) in its first written or oral communication with the customer a statement that free debt counselling, debt adjusting and providing of credit information services is available to customers and that the customer can find out more by contacting the Money Advice Service1; and(2) on its web-site the following link to the Money Advice Service1 web-site (https://www.moneyadviceservice.org.uk/en/tools/debt-advice-locator).[Note: paragraph