3.1. Application
3.1.1. General requirement
COB 3 applies to:
- (a) an Authorised Firm communicating with a Client in relation to a Regulated Activity; and/or
- (b) an Authorised Firm communicating or approving a Financial Promotion.
3.1.2. Territorial scope
This chapter COB 3 applies to:
- (a) any communications of an Authorised Firm to a Client; and/or
- (b) any Financial Promotions communicated or approved by an Authorised Firm, in relation to a Regulated Activity carried on by an Authorised Firm operating within the jurisdiction of the AIFC as specified in Part 1 of the Framework Regulations.