Dealing and managing - COBS Provision: Difference between revisions

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Dealing and managing - COBS Provision (view source)

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→‎{{cobsprov|11.2}} {{cobsprov|Best Execution}}

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 Note that the provisions of COBS 11.6 are currently under thematic review by the {{tag|FCA}}. See in particular the FCA's [http://www.fca.org.uk/news/cp13-17-use-of-dealing-commission Consultation on the Use of Dealing Commission] (CP13/17) dated November 2013, for which submissions close in February 2014 and which is expected to be implemented in the Spring of 2014.
-===[[Best Execution]]===
+{{TOC|COBS|11.2}}
-Note that courtesy of {{cobsprov|1 Annex 1}} best execution obligations are not owed to an {{fcaprov|eligible counterparty}}, but only to a {{fcaprov|professional client}} or a {{fcaprov|retail client}}.
-====Application of best execution obligation====
+{{TOC|COBS|11.6}}
-* As to {{fcaprov|eligible counterparties}}, see {{cobsprov|1 Annex 1}}
-*{{Cobsprov|11.2.2}}
-*{{Cobsprov|11.2.3}}
-*{{Cobsprov|11.2.4}}
-*{{Cobsprov|11.2.5}}
-====Management companies: execution and transmission of orders====
-====Client consent to execution policy and execution of orders outside a {{fcaprov|regulated market}} or {{fcaprov|MTF}}====
-*{{Cobsprov|11.2.25}}: consent to best execution policy generally <br>
-*{{Cobsprov|11.2.26}}: permission to execute outside a [[regulated market]] or [[MTF]] <br>
-===Use of Dealing Commission===
-{{Cobsprov|11.6.1}} <br>
-{{Cobsprov|11.6.2}} <br>
-{{Cobsprov|11.6.3}} <br>
-{{Cobsprov|11.6.4}} <br>
-{{Cobsprov|11.6.5}} <br>
-{{Cobsprov|11.6.6}} <br>
-{{Cobsprov|11.6.7}} <br>
-{{Cobsprov|11.6.8}}G - examples of goods and services that are not exempt and cannot be paid for from dealing commissions <br>
 {{cobsanatomy}}