Client - FCA Rulebook Term: Difference between revisions
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{{fullanat| | {{fullanat|cobs|Client|}} | ||
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 {{cobsprov|2.4.3}} (“{{cobsprov|agent as client}}”) where — and apologies for the spoiler, but the title rather gives it away — the {{tag|agent}} is the {{fcaprov|client}}, not the {{tag|principal}}. In most cases<ref>But what would a rule be without exceptions, hey?</ref>. | 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 {{cobsprov|2.4.3}} (“{{cobsprov|agent as client}}”) where — and apologies for the spoiler, but the title rather gives it away — the {{tag|agent}} is the {{fcaprov|client}}, not the {{tag|principal}}. In most cases<ref>But what would a rule be without exceptions, hey?</ref>. | ||
Latest revision as of 14:09, 15 October 2021
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The JC’s Reg and Leg resource™
UK Edition COBS Rules
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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
- ↑ But what would a rule be without exceptions, hey?