• Marketing Material

    • COBS 3.2.4

      (a) An Authorised Person must ensure that any Marketing Material communicated to a Person contains the following information:
      (i) the name of the Authorised Person communicating the Marketing Material or, on whose behalf the Marketing Material is being communicated;
      (ii) the Authorised Person's regulatory status; and
      (iii) if the Marketing Material is intended only for Professional Clients or Market Counterparties, a clear statement to that effect and that no other Person should act upon it.
      (b) Marketing Material includes any invitation or inducement to Engage in Investment Activity.
      (c) An Authorised Person which communicates Marketing Material must:
      (i) ensure that the Marketing Material complies with the applicable Rules and any legislation administered by the Regulator; and
      (ii) not distribute such Marketing Material if it becomes aware that the Person offering to carry on the Regulated Activity or offering the Specified Investment to which the Material relates is in breach of the regulatory requirements that apply to that Person in relation to that Specified Investment or Regulated Activity.
      Amended on (3 February, 2020).

    • COBS 3.2.5

      An Authorised Person must take reasonable steps to ensure that:

      (a) any Marketing Material intended for Professional Clients or Market Counterparties is not sent or directed to any Persons who are not Professional Clients or Market Counterparties; and
      (b) no Person communicates or otherwise uses the Marketing Material on behalf of the Authorised Person in a manner that amounts to a breach of the requirements in this section.