AMLG 1.3.2 Who is a customer?
(1) A customer, in relation to a firm, includes any person who engages in, or who has contact with the firm with a view to engaging in, any transaction with the firm or a member of the firm's group:
(a) on the person's own behalf; or
(b) as agent for or on behalf of another person.
(2) To remove any doubt, customer also includes:
(a) any person receiving a service offered by the firm (or by a member of the firm's group) in the normal course of its business; and
(b) a client or investor, or prospective client or investor, of the firm or a member of the firm's group.
|Derived by QFCRA RM/2019-9 (as from 1st February 2020)|