FCA Handbook - FPCOB 1 Annex 1 Application (see FPCOB 1.2.11G)

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FPCOB 1 Annex 1 Application (see FPCOB 1.2.11G)

Application to different types of firm
1	Application to funeral plan providers and intermediaries
1.1	G	(1)	Certain sections of this sourcebook apply differently to funeral plan providers and funeral plan intermediaries. This table summarises which sections of this sourcebook are relevant to funeral plan providers, which are relevant to funeral plan intermediaries and which are relevant to both.
		(2)	A funeral plan provider that has appointed an appointed representative to distribute funeral plan contracts will need to consider the sections of this sourcebook which are relevant to funeral plan intermediaries in relation to the activities of its appointed representatives.
2	Third party processors
2.1	R	(1)	This rule applies where a firm (or its appointed representative) (“A”) has outsourced funeral plan distribution to a third party processor.
		(2)	Any rule in this sourcebook which requires the third party processor, when acting as such, to disclose its identity to a customer must be read as applying to the third party processor only to the extent that it applies to A and as requiring disclosure of A’s identity.
3	Providing targeted support
3.1	R	A firm providing targeted support in relation to a funeral plan contract must comply with the rules which would apply to it if it were advising on a funeral plan contract.
3.2	G	(1)	The provision of targeted support services is subject to specific requirements in COBS 9B. Funeral plan contracts are beyond the scope of those rules.
		(2)	A firm that provides targeted support in relation to a type of specified investment which is beyond the scope of application of the rules in COBS 9B is subject to the rules which would apply to that firm if it were advising on investments.