COBS

E790453
FCA Handbook sourcebook regulatory rulebook section

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.

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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 NERFINISHED ⓘ
clientTypesCovered eligible counterparties ⓘ
professional clients ⓘ
retail clients ⓘ
contains definitions ⓘ
evidential provisions ⓘ
guidance ⓘ
rules ⓘ
fullName Conduct of Business Sourcebook NERFINISHED ⓘ
implements IDD conduct of business requirements ⓘ
MiFID conduct of business requirements ⓘ
jurisdiction United Kingdom ⓘ
legalStatus binding rules for authorised firms ⓘ
location FCA Handbook online NERFINISHED ⓘ
maintainedBy Financial Conduct Authority NERFINISHED ⓘ
partOf FCA Handbook NERFINISHED ⓘ
predecessorRegulator Financial Services Authority NERFINISHED ⓘ
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 NERFINISHED ⓘ
updatedBy FCA policy statements ⓘ

Referenced by (1)

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

conduct of business sourcebook (COBS) → abbreviation → COBS ⓘ
subject surface form: Conduct of Business Sourcebook