Conduct Of Business Sourcebook
Found 4 free book(s)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.
CP21/17: Enhancing climate-related disclosures by asset ...
www.fca.org.ukFinancial Conduct Authority Enhancing climate-related disclosures by asset managers, life insurers, and FCA-regulated pension providers of their group-wide or global business activities and products, even where these activities and products may not strictly be within the scope of the proposed rules.
Collective Investment Schemes - FCA Handbook
www.handbook.fca.org.uk11 Annex 2 Contents of the internal conduct of business rules COLL 12 Management company and product passports under the UCITS Directive [deleted] COLL 13 Operation of feeder NURS 13.1 Introduction 13.2 Operational requirements for feeder NURS COLL 14 Charity authorised investment funds 14.1 Introduction 14.2 Registration with the Charity ...