Use of dealing commissions - COBS Provision

These COBS rules may have changed as a result of MiFID II

COBS 11.6 Use of dealing commissions

COBS 11.6.1

COBS 11.6.2

COBS 11.6.3 Use of dealing commission to purchase goods or services

COBS 11.6.4

COBS 11.6.5

COBS 11.6.6

COBS 11.6.7

COBS 11.6.8G - examples of goods and services that are not exempt and cannot be paid for from dealing commissions

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)).