Transcription of Chapter 3 Client categorisation - Financial Services Authority
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Chapter 3 Client categorisation - Financial Services Authority
Conduct of Business SourcebookChapter 3 Client categorisationCOBS 3 : Client categorisationSection : Release 26l Feb 3 scope of this Chapter is the same as that of the rules in the Handbook towhich it Chapter relates to parts of the Handbook whose application depends onwhether a person is a Client , a retail Client , a professional Client or an eligiblecounterparty. However, it does not apply to the extent that another part ofthe Handbook provides for a different approach to Client categorisation . Forexample, a separate approach to Client categorisation is set out in thedefinition of a retail Client for a firm that gives basic to n COBS and n COBS , in this Chapter provisions marked UK apply to a firm s business other than MiFID business as if they sections in this Chapter on general notifications (n COBS ) and policies,procedures and records (n COBS ) do not apply in relation to a firm that isneither:(1) conduct
SSAS,personal pension schemeorstakeholder pension scheme) which has (or has had at any time during the previous two years) assets of at least £10 million (or its equivalent in any other currency at the relevant time) calculated by aggregating the value of the cash anddesignated investmentsforming part of the
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