COBS Anatomy: Difference between revisions
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COBS {{cobsprov|9}} {{cobsprov|Suitability (including basic advice)}}<br> | COBS {{cobsprov|9}} {{cobsprov|Suitability (including basic advice)}}<br> | ||
COBS {{cobsprov|10}} {{cobsprov|Appropriateness (for non-advised services)}}<br> | COBS {{cobsprov|10}} {{cobsprov|Appropriateness (for non-advised services)}}<br> | ||
COBS {{cobsprov|11}} {{cobsprov|Dealing and managing}}<br> | COBS {{cobsprov|11}} {{cobsprov|Dealing and managing}} ''including [[best execution]]''<br> | ||
COBS {{cobsprov|12}} {{cobsprov|Investment research}}<br> | COBS {{cobsprov|12}} {{cobsprov|Investment research}}<br> | ||
COBS {{cobsprov|13}} {{cobsprov|Preparing product information}}<br> | COBS {{cobsprov|13}} {{cobsprov|Preparing product information}}<br> | ||
Revision as of 12:22, 28 November 2014
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 including best execution
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)).