B3: Responsibility for Activity by Others

Rule B3.6 provides that:

“Any advertisement, promotional material or promotional activity of or by you (whether or not you are named or referred to therein) and any advertisement, promotional material or promotional activity of or by a third party which relates to your services shall be presumed to have been issued or promoted with your authority.”

 It is emphasised that this means that you are responsible for activity by others (such as independent financial advisers, for example) which promotes your services in a way which contravenes the rules.