Retail client - COBS Provision: Difference between revisions
Jump to navigation
Jump to search
Amwelladmin (talk | contribs) No edit summary |
Amwelladmin (talk | contribs) No edit summary |
||
| Line 1: | Line 1: | ||
{{cobssnap|3.4}} | {{cobssnap|3.4}} | ||
====Commentary==== | |||
{{Mifid categorisation}} | |||
{{cobsanatomy}} | {{cobsanatomy}} | ||
Revision as of 11:11, 22 July 2015
Section 3.4, COBS Rules
COBS Rules
Template:COBS Section 3.4
View Template
Commentary
MiFID Categorisation
- Professional clients: per se professional client | elective professional client
- ECPs: per se eligible counterparty | elective eligible counterparty | COBS 1 Annex 1 for disapplication of COBS rules to ECPs
- Retail client: See COBS 3.4: one who is not a professional client or an ECP
- Categorisation decision tree (pdf)
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)).