COBS Anatomy: Difference between revisions
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{{cobsprov|COBS 1}} {{cobsprov|Application}} | {{cobsprov|COBS 1}} {{cobsprov|Application}}<br> | ||
{{cobsprov|COBS 2}} {{cobsprov|Conduct of business obligations}} | {{cobsprov|COBS 2}} {{cobsprov|Conduct of business obligations}}<br> | ||
{{cobsprov|COBS 3}} {{cobsprov|Client categorisation}} | {{cobsprov|COBS 3}} {{cobsprov|Client categorisation}}<br> | ||
{{cobsprov|COBS 4}} {{cobsprov|Communicating with clients, including financial promotions}} | {{cobsprov|COBS 4}} {{cobsprov|Communicating with clients, including financial promotions}}<br> | ||
{{cobsprov|COBS 5}} {{cobsprov|Distance communications}} | {{cobsprov|COBS 5}} {{cobsprov|Distance communications}}<br> | ||
{{cobsprov|COBS 6}} {{cobsprov|Information about the firm, its services and remuneration}} | {{cobsprov|COBS 6}} {{cobsprov|Information about the firm, its services and remuneration}}<br> | ||
{{cobsprov|COBS 7}} {{cobsprov|Insurance mediation}} | {{cobsprov|COBS 7}} {{cobsprov|Insurance mediation}}<br> | ||
{{cobsprov|COBS 8}} {{cobsprov|Client agreements}} | {{cobsprov|COBS 8}} {{cobsprov|Client agreements}}<br> | ||
{{cobsprov|COBS 9}} {{cobsprov|Suitability (including basic advice)}} | {{cobsprov|COBS 9}} {{cobsprov|Suitability (including basic advice)}}<br> | ||
{{cobsprov|COBS 10}} {{cobsprov|Appropriateness (for non-advised services)}} | {{cobsprov|COBS 10}} {{cobsprov|Appropriateness (for non-advised services)}}<br> | ||
{{cobsprov|COBS 11}} {{cobsprov|Dealing and managing}} | {{cobsprov|COBS 11}} {{cobsprov|Dealing and managing}}<br> | ||
{{cobsprov|COBS 12}} {{cobsprov|Investment research}} | {{cobsprov|COBS 12}} {{cobsprov|Investment research}}<br> | ||
{{cobsprov|COBS 13}} {{cobsprov|Preparing product information}} | {{cobsprov|COBS 13}} {{cobsprov|Preparing product information}}<br> | ||
{{cobsprov|COBS 14}} {{cobsprov|Providing product information to clients}} | {{cobsprov|COBS 14}} {{cobsprov|Providing product information to clients}}<br> | ||
{{cobsprov|COBS 15}} {{cobsprov|Cancellation}} | {{cobsprov|COBS 15}} {{cobsprov|Cancellation}}<br> | ||
{{cobsprov|COBS 16}} {{cobsprov|Reporting information to clients}} | {{cobsprov|COBS 16}} {{cobsprov|Reporting information to clients}}<br> | ||
{{cobsprov|COBS 17}} {{cobsprov|Claims handling for long-term care insurance}} | {{cobsprov|COBS 17}} {{cobsprov|Claims handling for long-term care insurance}}<br> | ||
{{cobsprov|COBS 18}} {{cobsprov|Specialist Regimes}} | {{cobsprov|COBS 18}} {{cobsprov|Specialist Regimes}}<br> | ||
{{cobsprov|COBS 19}} {{cobsprov|Pensions supplementary provisions}} | {{cobsprov|COBS 19}} {{cobsprov|Pensions supplementary provisions}}<br> | ||
{{cobsprov|COBS 20}} {{cobsprov|With-profits}} | {{cobsprov|COBS 20}} {{cobsprov|With-profits}}<br> | ||
{{cobsprov|COBS 21}} {{cobsprov|Permitted Links}} | {{cobsprov|COBS 21}} {{cobsprov|Permitted Links}}<br> | ||
{{cobsprov|COBS transchedule}} {{cobsprov|Transitional Provisions and Schedules }} | {{cobsprov|COBS transchedule}} {{cobsprov|Transitional Provisions and Schedules}}<br> | ||
{{cobsanatomy}} | {{cobsanatomy}} | ||
Revision as of 09:37, 29 January 2013
COBS 1 Application
COBS 2 Conduct of business obligations
COBS 3 Client categorisation
COBS 4 Communicating with clients, including financial promotions
COBS 5 Distance communications
COBS 6 Information about the firm, its services and remuneration
COBS 7 Insurance mediation
COBS 8 Client agreements
COBS 9 Suitability (including basic advice)
COBS 10 Appropriateness (for non-advised services)
COBS 11 Dealing and managing
COBS 12 Investment research
COBS 13 Preparing product information
COBS 14 Providing product information to clients
COBS 15 Cancellation
COBS 16 Reporting information to clients
COBS 17 Claims handling for long-term care insurance
COBS 18 Specialist Regimes
COBS 19 Pensions supplementary provisions
COBS 20 With-profits
COBS 21 Permitted Links
COBS transchedule Transitional Provisions and Schedules
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)).