• Recommendation-Based Offers of Units of Foreign Funds

    • FUNDS 10.1.6

      An Authorised Person may not make an Offer of a Unit of a Foreign Fund to a particular Retail Client unless it has made an assessment of the suitability of the investment for that Retail Client in accordance with COBS Rule 3.4.2 and has a reasonable basis for recommending the investment in the Fund as suitable for the particular Retail Client.

      Amended on (3 February, 2020).