COBS Anatomy: Difference between revisions
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COBS {{cobsprov|1}} {{cobsprov|Application}}<br> | COBS {{cobsprov|1}} {{cobsprov|Application}}<br> | ||
COBS {{cobsprov|2}} {{cobsprov|Conduct of business obligations}}<br> | COBS {{cobsprov|2}} {{cobsprov|Conduct of business obligations}}<br> | ||
COBS {{ | COBS {{COBS Section 3 TOC}} | ||
COBS {{cobsprov|4}} {{cobsprov|Communicating with clients, including financial promotions}}<br> | COBS {{cobsprov|4}} {{cobsprov|Communicating with clients, including financial promotions}}<br> | ||
COBS {{cobsprov|5}} {{cobsprov|Distance communications}}<br> | COBS {{cobsprov|5}} {{cobsprov|Distance communications}}<br> | ||
Revision as of 14:42, 13 March 2015
COBS 1 Application
COBS 2 Conduct of business obligations
COBS 3 Client categorisation
- 3.1 Application
- 3.2 Clients
- 3.3 General notifications
- 3.4 Retail clients
- 3.5 Professional clients
- 3.6 Eligible counterparties
- 3.7 Providing clients with a higher level of protection
- 3.8 Policies, procedures and records
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)).