COB 3.2.4(1) An
Authorised Firmmust ensure that any marketing material communicated to a Personcontains the following information:(a) the name of the Authorised Firmcommunicating the marketing material or, on whose behalf the marketing material is being communicated;(b) the Authorised Firm'sregulatory status as required under GEN section 6.4; and(c) if the marketing material is intended only for Professional Clientsor Market Counterparties, a clear statement to that effect and that no other Personshould act upon it.(2) In (1), marketing material includes any invitation or inducement to enter into an agreement:(a) in relation to a financial product or to engage in a Financial Servicewith the Authorised Firm; or(b) in relation to a financial product or financial service offered by a Personother than the Authorised Firm.(3) An Authorised Firmwhich communicates marketing material in (2)(b) must:(a) ensure that the marketing material complies with the applicable Rules and any legislation administered by the DFSA; and(b) not distribute such marketing material if it becomes aware that the Personoffering the financial product or financial service to which the material relates is in breach of the regulatory requirements that apply to that Personin relation to that product or service.
Authorised Firmmust take reasonable steps to ensure that:(a) any marketing material intended for Professional Clientsis not sent or directed to any Personswho are not Professional Clients; and(b) no Personcommunicates or otherwise uses the marketing material on behalf of the Authorised Firmin a manner that amounts to a breach of the requirements in this section.Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]