Use of dealing commission to purchase goods or services - COBS Provision: Difference between revisions
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{{fullanat| | {{fullanat|cobs|11.6.3|}} | ||
See also {{cobsprov|2.3.1}} for the general rule on {{cobsprov|Inducements}}. This rule has been the subject of a [http://www.fsa.gov.uk/static/pubs/other/conflicts-of-interest.pdf circular on conflicts of interest] circulated in 2012 by the FSA which created some consternation as to whther [[corporate access]] could be treated as [[research]] for the purposes of COBS {{cobsprov|11.6.3}}. | See also {{cobsprov|2.3.1}} for the general rule on {{cobsprov|Inducements}}. This rule has been the subject of a [http://www.fsa.gov.uk/static/pubs/other/conflicts-of-interest.pdf circular on conflicts of interest] circulated in 2012 by the FSA which created some consternation as to whther [[corporate access]] could be treated as [[research]] for the purposes of COBS {{cobsprov|11.6.3}}. | ||
See also {{cobsprov|11.6.8}} which gives examples of goods or services that relate to the execution of trades or the provision of research that the {{tag|FCA}} does ''not'' regard as meeting the requirements of either evidential provisions. | See also {{cobsprov|11.6.8}} which gives examples of goods or services that relate to the execution of trades or the provision of research that the {{tag|FCA}} does ''not'' regard as meeting the requirements of either evidential provisions. | ||
Revision as of 14:54, 5 May 2017
The JC’s Reg and Leg resource™
UK Edition COBS Rules
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See also 2.3.1 for the general rule on Inducements. This rule has been the subject of a circular on conflicts of interest circulated in 2012 by the FSA which created some consternation as to whther corporate access could be treated as research for the purposes of COBS 11.6.3.
See also 11.6.8 which gives examples of goods or services that relate to the execution of trades or the provision of research that the FCA does not regard as meeting the requirements of either evidential provisions.