Chapter 3 - Quick Ref cards

Question 1

Quick reference

Answer 1

• Rules that include eligible counterparties (‘all clients’):
- Client categorisation
- Conflict of interest rules
- Investment research disclosures
- Personal account dealing
- Client assets
• Rules that apply to retail clients only:
- Financial promotions
- Packaged product and PRIIPs disclosures, including KIDs and KIIDs, and cancellation
rights
- Suitability reports
• All other rules apply to retail and professional clients (‘all customers’)