Search results with tag "Conduct of business sourcebook"
Conduct 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
categories 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.
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)