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Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Version date: 3 January 2018 - onwards
  Version 3 of 3    

Regulation 103 Provision of services though the medium of another firm

Revoked from 3 January 2018

(1) An investment firm which receives an instruction to perform investment or ancillary services on behalf of a client through the medium of another investment firm may rely on client information transmitted by the other firm.

(2) The other investment firm remains responsible for the completeness and accuracy of the information transmitted.

(3) An investment firm which receives an instruction on behalf of a client to perform investment or ancillary services, through the medium of another investment firm may rely on any recommendations in respect of the services or transaction that have been provided to the client by that other investment firm.

(4) The investment firm which mediates the instructions remains responsible for the appropriateness for the client of the recommendations or advice provided.

(5) An investment firm that receives client instructions or orders through the medium of another investment firm remains responsible for concluding the service or transaction in accorda

Comparing proposed amendment...