Retail client - COBS Provision: Difference between revisions

From The Jolly Contrarian
Jump to navigation Jump to search
No edit summary
No edit summary
Line 1: Line 1:
Not a {{cobsprov|professional client}}, and not an {{cobsprov|eligible counterparty}}. People with whom, generally, a {{tag|MiFID}} regulated investment bank will want little to do. Unless they're PWM clients, of course.
{{cobssnap|3.4}}
{{cobssnap|3.4}}
====Commentary====
====Commentary====

Revision as of 14:34, 18 July 2016

Not a professional client, and not an eligible counterparty. People with whom, generally, a MiFID regulated investment bank will want little to do. Unless they're PWM clients, of course.

Section 3.4, COBS Rules

COBS Rules
Template:COBS Section 3.4
View Template

Commentary


MiFID Categorisation


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)).