Use of dealing commission to purchase goods or services - COBS Provision: Difference between revisions
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{{fullanat|cobs|11.6.3|}} | {{fullanat|cobs|11.6.3|}} | ||
This rule has been the subject of a [http://www.fsa.gov.uk/static/pubs/other/conflicts-of-interest.pdf circular on conflicts of interest] circulated in 2012 by the FSA which created some consternation as to whther [[corporate access]] could be treated as [[research]] for the purposes of COBS {{cobsprov|11.6.3}}. | |||
See also {{cobsprov|11.6.8}} which gives examples of goods or services that relate to the execution of trades or the provision of research that the {{tag|FCA}} does ''not'' regard as meeting the requirements of either evidential provisions. | See also {{cobsprov|11.6.8}} which gives examples of goods or services that relate to the execution of trades or the provision of research that the {{tag|FCA}} does ''not'' regard as meeting the requirements of either evidential provisions. | ||
{{Seealso}} | |||
*{{cobsprov|2.3.1}} for the general rule on {{cobsprov|Inducements}}. | |||
*{{cobsprov|11.6}} generally on {{cobsprov|the use of dealing commissions}} to pay for investment research and other stuff. |
Revision as of 10:25, 10 October 2017
The JC’s Reg and Leg resource™
UK Edition COBS Rules
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This rule has been the subject of a circular on conflicts of interest circulated in 2012 by the FSA which created some consternation as to whther corporate access could be treated as research for the purposes of COBS 11.6.3.
See also 11.6.8 which gives examples of goods or services that relate to the execution of trades or the provision of research that the FCA does not regard as meeting the requirements of either evidential provisions.
See also
- 2.3.1 for the general rule on Inducements.
- 11.6 generally on the use of dealing commissions to pay for investment research and other stuff.