Conduct of business obligations - COBS Provision: Difference between revisions
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Revision as of 09:50, 31 March 2015
- 3.1 Application
- 3.2 Clients
- 3.3 General notifications
- 3.4 Retail clients
- 3.5 Professional clients
- 3.6 Eligible counterparties
- 3.7 Providing clients with a higher level of protection
- 3.8 Policies, procedures and records
Conduct of Business
This is an article about the FCA’s conduct of business rules, known by its chapter in the FCA Sourcebook, COBS, which implement, among other things, MiFID (directive 2004/39/EC (EUR Lex) and implementing directive 2006/73/EC (EUR Lex)).