Article 13 Communications from customers and potential customers

United Kingdom

(1)

The financial promotion restriction does not apply to any communication made by or on behalf of a person (“customer”) to one other person (“supplier”)—

(a)

in order to obtain information about a controlled investment F1or controlled claims management activity available from or a controlled service provided by the supplier; ~~F2or~~

(b)

in order that the customer can acquire a controlled investment from that supplier or be supplied with a controlled service by that supplierF3; or

F4(c)

in order that the customer can be supplied with services in respect of a controlled claims management activity by that supplier.

(2)

For the purposes of paragraph (1), a controlled service is a service the provision of which constitutes engaging in a controlled activity by the supplier.

Annotations

Textual amendments

F1: Words in art. 13(1)(a) inserted (E.W.S.) (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), arts. 1(2)(3), 14(a)(i)
F2: Word in art. 13(1)(a) omitted (E.W.S.) (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by virtue of The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), arts. 1(2)(3), 14(a)(ii)
F3: Word in art. 13(1)(b) inserted (E.W.S.) (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), arts. 1(2)(3), 14(b)
F4: Art. 13(1)(c) inserted (E.W.S.) (29.11.2018 for specified purposes, 1.4.2019 in so far as not already in force) by The Financial Services and Markets Act 2000 (Claims Management Activity) Order 2018 (S.I. 2018/1253), arts. 1(2)(3), 14(c)