Client - FCA Rulebook Term

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Untutored ramblings™ on the FCA’s conduct of business rules

COBS Rules
Template:COBS Section Client
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FCA Handbook - COBS Rules
COBS Anatomy
COBS: Table of Contents | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 | 18 | 19 | 20 | 21 | Transchedule |
MiFID: 25 | 28 |

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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[1].

See also


References

  1. But what would a rule be without exceptions, hey?