Transcription of Conduct of Business Sourcebook - FCA Handbook
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Conduct of Business Sourcebook - FCA Handbook
Conduct of BusinessSourcebookCOBS ContentsConduct of Business SourcebookCOBS in financial instruments distribution1 Annex 1 Application (see COBS )COBS 2 Conduct of Business honestly, fairly and disclosure before providing services (other than mifid andinsurance distribution) disclosure before providing services ( mifid and insurancedistribution provisions) relating to Business other than mifid , equivalent thirdcountry or optional exemption Business and insurance-based relating to mifid , equivalent third country or optionalexemption Business and insurance-based investment and and execution as client and reliance on additional productsCOBS 3 Client clients with a higher level of , procedures and recordsCOBS 4 Communicating with clients, includingfinancial , clear and not misleading promotions to be identifiable as with retail clients (non- mifid provisions)n Release 21l Jul iCOBS with clients (including past, simulated past and futureperformance) ( mifid provisions) , simulated past and future performance (non- mifid provisions) offerfinancial calls and other promotions that are not in promotions with an overseas and controls and approving and keeping: financial on the promotion of non-mainstream pooled on the promotion of speculative illiquid securities to retailclientsCOBS 5 Distance distance marketing disclosure Annex 1 Distance marketing information5 Annex 2 Abbreviated distance marketing
1.2 Markets in Financial Instruments Directive 1.3 Insurance distribution 1 Annex 1 Application (see COBS 1.1.2R) COBS 2 Conduct of business obligations 2.1 Acting honestly, fairly and professionally 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)
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