Supplementary Material .06 bars a recommendation (a single trade, an ongoing purchase programme or a strategy) unless the firm reasonably believes the customer can carry the financial commitment it involves. Margin, periodic payment plans, leveraged strategies and illiquid products with capital calls are the typical cases; the profile's financial situation and liquidity-needs elements are the evidence base.
The graph holds this control, the 0 it maps to, and the evidence behind each claim, over MCP and REST.