Search results with tag "Conduct of business sourcebook"
Cryptoasset promotions
assets.publishing.service.gov.ukConduct of Business Sourcebook (COBS) 41 2.6 Section 21 of the Financial Services and Markets Act 2000 (‘FSMA’) contains the financial promotion restriction. This restriction is broad in scope and provides that a person must not, in the course of business, communicate an invitation or inducement to engage in investment activity or claims
Client Assets - Home - FCA Handbook
www.handbook.fca.org.ukcategories used in the Insurance: New Conduct of Business sourcebook. (4) Each provision in thecollateral rules,custody chapter, theclient money chapterand CASS 9(Information to clients) makes it clear whether it applies to activities carried on forretail clients, professional clientsor both.
Conduct of Business Sourcebook - FCA Handbook
www.handbook.fca.org.uk16 Annex 1R Trade confirmation and periodic information 16 Annex 2R Information to be included in a periodic report COBS 16A Reporting information to clients (MiFID and insurance-based investment products provisions) 16A.1 Application 16A.2 General client reporting and record keeping requirements 16A.3 Occasional reporting: MiFID business