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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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Amwelladmin (talk | contribs) (Created page with "{{quote|{{cobsprov|11.6.3}} {{cobsprov|Use of dealing commission to purchase goods or services}} :(1) An investment manager must not accept goods or services in addition to th...") |
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:::(ii) comprise the provision of research; and <br> | :::(ii) comprise the provision of research; and <br> | ||
::(b) will reasonably assist the investment manager in the provision of its services to its customers on whose behalf the orders are being executed and do not, and are not likely to, impair compliance with the duty of the investment manager to act in the best interests of its customers. <br>}} | ::(b) will reasonably assist the investment manager in the provision of its services to its customers on whose behalf the orders are being executed and do not, and are not likely to, impair compliance with the duty of the investment manager to act in the best interests of its customers. <br>}} | ||
===Commentary=== | |||
See also {{cobsprov|2.3.1}} for the general rule on {{cobsprov|Inducements}}. | |||
{{cobsanatomy}} | {{cobsanatomy}} | ||