CISI Investment Advice Diploma Practice Questions - CISI Level 4 Investment Advice Diploma (IAD) Exam

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An adviser recommends a structured product to a retail client without considering whether the client could bear the potential capital loss. Which FCA Conduct of Business Sourcebook (COBS) requirement has most clearly been breached?

The financial promotions rule in COBS 4 The suitability requirement in COBS 9 The aggregation rule in COBS 11 The client categorisation rule in COBS 3

Correct Answer:

The suitability requirement in COBS 9

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