Client Categories
Refreshed June 2025 | CPD time: 45 Minutes
The Financial Conduct Authority sets out rules relating to client categorisation, under which a firm is required to categorise its clients if it is carrying on designated investment business. The objective of these rules is to ensure that clients are afforded appropriate levels of protection according to their status. This module examines the definition of a client, the different types and classifications, how clients are treated what the various client categories are, and how to apply the client categorisation rules.
1. Applying the Client Categorisation Rules
2. What is a Client?
3. Professional Clients
4. Eligible Counterparties
5. How Clients are Treated
6. Re-categorisation of Clients
Module Test