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Use of dealing commission to purchase goods or services - COBS Provision: Difference between revisions
Use of dealing commission to purchase goods or services - COBS Provision (view source)
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{{fullanat|cobs|11.6.3|}} | {{fullanat|cobs|11.6.3|}} | ||
This rule has been the subject [https://www.fca.org.uk/publications/policy-statements/ps14-7-changes-use-dealing-commission-rules-feedback-cp13-17-and FCA Policy Statement 14/7] which changed the ground rules re whether [[corporate access]] could be treated as [[research]] for the purposes of COBS {{cobsprov|11.6.3}}. Expect {{tag|MiFID 2}} to wring yet more changes. | |||
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}} | {{Seealso}} | ||
*[https://www.fca.org.uk/publications/policy-statements/ps14-7-changes-use-dealing-commission-rules-feedback-cp13-17-and FCA Policy Statement 14/7 on Changes to the use of dealing commission rules] | |||
*{{cobsprov|2.3.1}} for the general rule on {{cobsprov|Inducements}}. | *{{cobsprov|2.3.1}} for the general rule on {{cobsprov|Inducements}}. | ||
*{{cobsprov|11.6}} generally on {{cobsprov| | *{{cobsprov|11.6}} generally on the {{cobsprov|use of dealing commissions}} to pay for investment research and other stuff. | ||