Home FCA Handbook FPCOB FPCOB 4 FPCOB 4.1 Application
You are viewing FPCOB 4.1 Application as of . FPCOB 4.1 Application was last updated on 29/07/2022.

FPCOB 4.1 Application

29/07/2022R

This section applies to a firm:

  1. (1)

    communicating with a customer or covered individual under a new funeral plan or subsisting funeral plan in relation to its regulated funeral plan activity; and

  2. (2)

    communicating or approving a financial promotion in relation to a funeral plan contract or a regulated funeral plan activity unless that financial promotion could lawfully be communicated by an unauthorised person without approval.

29/07/2022G

A firm is required to comply with the financial promotion rules in relation to a financial promotion communicated by its appointed representative even where the financial promotion does not require approval because of the exemption in article 16 of the Financial Promotion Order (Exempt persons).

[Note: section 39 of the Act]