Non-mass
market
investments: certification of
compliance
Certification by
the person
allocated the
compliance
oversight function or
employees of
the firm
reporting to
and supervised
by that person
confirming that
the financial
promotion is
compliant with
the restrictions
in section 238
of the Act and
COBS 4.12B,
as applicable.
Which
exemption
applies and the
reason why that
exemption
applies. Where
the exemption
requires a
certificate,
investor
statement,
warning or
indication, a
copy of that
certificate,
investment
statement,
warning or indication.