(1) The financial promotion restriction does not apply to a communication which is communicated as part of a qualifying service by a person ("D") who is a director or employee of an undertaking ("U") where -

(a) the communication invites or induces the recipient to acquire -

(i) a controlled investment of the kind falling within article 20(4) which is issued by U (or by an undertaking in the same group as U); or

(ii) a controlled investment issued or provided by an authorised person in the same group as U;

(b) the communication -

(i) comprises words which are spoken by D and not broadcast, transmitted or displayed in writing; or

(ii) is displayed in writing only because it forms part of an interactive dialogue to which D is a party and in the course of which D is expected to respond immediately to questions put by a recipient of the communication;

(c) the communication is not part of an organised marketing campaign; and

(d) the communication is accompanied by an indication that D is a director or employee (as the case may be) of U.