Conduct of business obligations - COBS Provision

From The Jolly Contrarian

Revision as of 09:50, 31 March 2015 by Amwelladmin (talk | contribs)

(diff) ← Older revision | Latest revision (diff) | Newer revision → (diff)

Jump to navigation Jump to search

COBS 2 Conduct of business obligations

COBS 2.1 Acting honestly, fairly and professionally

COBS 2.2 Information disclosure before providing services

COBS 2.3 Inducements

COBS 2.4 Agent as client and reliance on others

COBS 2.4.3 Agent as client

COBS 2.4.4 Reliance on other investment firms: MiFID and equivalent business

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)).

Retrieved from "https://jollycontrarian.com/index.php?title=Conduct_of_business_obligations_-_COBS_Provision&oldid=9450"