Use of dealing commission to purchase goods or services - COBS Provision: Difference between revisions
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*[https://www.fca.org.uk/publications/policy-statements/ps14-7-changes-use-dealing-commission-rules-feedback-cp13-17-and FCA Policy Statement 14/7 on Changes to the use of dealing commission rules] | *[https://www.fca.org.uk/publications/policy-statements/ps14-7-changes-use-dealing-commission-rules-feedback-cp13-17-and FCA Policy Statement 14/7 on Changes to the use of dealing commission rules] | ||
*{{cobsprov|2.3.1}} for the general rule on {{cobsprov|Inducements}}. | *{{cobsprov|2.3.1}} for the general rule on {{cobsprov|Inducements}}. | ||
*{{cobsprov|11.6}} generally on {{cobsprov| | *{{cobsprov|11.6}} generally on the {{cobsprov|use of dealing commissions}} to pay for investment research and other stuff. |
Revision as of 10:29, 10 October 2017
The JC’s Reg and Leg resource™
UK Edition COBS Rules
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This rule has been the subject FCA Policy Statement 14/7 which changed the ground rules re whether corporate access could be treated as research for the purposes of COBS 11.6.3. Expect MiFID 2 to wring yet more changes.
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.
See also
- FCA Policy Statement 14/7 on Changes to the use of dealing commission rules
- 2.3.1 for the general rule on Inducements.
- 11.6 generally on the use of dealing commissions to pay for investment research and other stuff.