CFP UK (CISI) Practice Questions - CFP Certification (CISI) - Level 7 Diploma In Advanced Financial Planning Exam

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Under the FCA Conduct of Business Sourcebook (COBS), when must a UK financial adviser provide a client with a suitability report for a personal recommendation on a retail investment product?

Before, or as soon as reasonably practicable after, the transaction is concluded Only if the client explicitly requests one in writing Within 12 months of the recommendation being made Only where the investment exceeds £50,000 in value

Correct Answer:

Before, or as soon as reasonably practicable after, the transaction is concluded

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