Client - FCA Rulebook Term

The JC’s Reg and Leg resource™ UK Edition →Go uptown COBS Rules Template:COBS Section Client View Template Index: Click ᐅ to expand: Regulation Tell me more Sign up for our newsletter — or just get in touch: for ½ a weekly 🍺 you get to consult JC. Ask about it here.

You may be interested in who is the client where an agency relationship is in contemplation. The FCA rule you’re looking for in that case is COBS 2.4.3 (“agent as client”) where — and apologies for the spoiler, but the title rather gives it away — the agent is the client, not the principal. In most cases.

See also

• KYC