COB 6.3.8
For the purposes of COB Rule 6.3.7, when an
(a) the process the Authorised Firm proposes to adopt in order to determine what recommendations it will make about allocations for the Offer ;
(b) details of how the target investor group, to whom it is planned to Offer the Securities , will be identified;
(c) the process through which recommendations are prepared and by whom; and
(d) (if relevant) that it may recommend placing Securities with a Client of the Authorised Firm for whom the Authorised Firm provides other services, with the Authorised Firm's own proprietary book, or with an Associate , and that this represents a potential conflict of interest.
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]