COBS Anatomy

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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)).

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