COBS

E790453

COBS is a key part of the UK Financial Conduct Authority’s Handbook that sets detailed rules and guidance for how financial firms must conduct business with their clients.

All labels observed (1)

Label Occurrences
COBS canonical 1

How this entity was disambiguated

Statements (49)

Predicate Object
instanceOf FCA Handbook sourcebook ⓘ
regulatory rulebook section ⓘ
appliesTo MiFID investment firms ⓘ
asset managers ⓘ
authorised firms ⓘ
banks ⓘ
insurance intermediaries ⓘ
platform service providers ⓘ
product providers ⓘ
retail investment advisers ⓘ
stockbrokers ⓘ
basedOn Financial Services and Markets Act 2000 ⓘ
clientTypesCovered eligible counterparties ⓘ
professional clients ⓘ
retail clients ⓘ
contains definitions ⓘ
evidential provisions ⓘ
guidance ⓘ
rules ⓘ
fullName Conduct of Business Sourcebook ⓘ
implements IDD conduct of business requirements ⓘ
MiFID conduct of business requirements ⓘ
jurisdiction United Kingdom ⓘ
legalStatus binding rules for authorised firms ⓘ
location FCA Handbook online ⓘ
linked to: FCA Handbook
maintainedBy Financial Conduct Authority ⓘ
partOf FCA Handbook ⓘ
predecessorRegulator Financial Services Authority ⓘ
purpose to ensure fair treatment of clients ⓘ
to implement UK and EU conduct requirements ⓘ
to promote market integrity ⓘ
regulates advising and selling standards ⓘ
appropriateness assessments ⓘ
best execution ⓘ
client categorisation ⓘ
client order handling ⓘ
communications with clients ⓘ
conduct of business with clients ⓘ
disclosure of costs and charges ⓘ
distance marketing of retail financial services ⓘ
financial promotions ⓘ
inducements and conflicts of interest ⓘ
insurance-based investment products ⓘ
packaged products ⓘ
pension transfers and opt-outs ⓘ
personal recommendations to retail clients ⓘ
suitability of advice ⓘ
regulator Financial Conduct Authority ⓘ
updatedBy FCA policy statements ⓘ

How these facts were elicited

Referenced by (1)

Full triples — surface form annotated when it differs from this entity's canonical label.

Conduct of Business Sourcebook → abbreviation → COBS ⓘ