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COB A2.1.2

(1) In the case of a Retail Client, the core information for the purposes of COB A2.1.1(a) is:
(a) the name and address of the Authorised Firm, and if it is a Subsidiary, the name and address of the ultimate Holding Company;
(b) the regulatory status of the Authorised Firm;
(c) when and how the Client Agreement is to come into force and how the agreement may be amended or terminated;
(d) sufficient details of the service that the Authorised Firm will provide, including where relevant, information about any product or other restrictions applying to the Authorised Firm in the provision of its services and how such restrictions impact on the service offered by the Authorised Firm. If there are no such restrictions, a statement to that effect;
(e) details of fees, costs and other charges and the basis upon which the Authorised Firm will impose those fees, costs and other charges;
(f) details of any conflicts of interests for the purposes of disclosure under COB Rule 3.5.1(2)(b);
(g) details of any Soft Dollar Agreement required to be disclosed under Rules COB 3.5.6 and COB 3.5.7; and
(h) key particulars of the Authorised Firm's Complaints handling procedures and a statement that a copy of the procedures is available free of charge upon request in accordance with GEN Rule 9.2.11.
(2) In the case of a Professional Client, the core information for the purposes of COB A2.1.1(a) is the information referred to in (1)(a), (b), (c) and (e).
Derived from DFSA RM56/2008 (Made 1st July 2008). [VER14/07-08]