Investments (COBS)

 

Track and demonstrate compliance with COBS handbook rules:

  • Markets in Financial Instruments Directive (MiFID)

  • Insurance Distribution

  • Acting Honestly, Fairly, and Professionally

  • Information Disclosure Before Providing Services

  • SRD Requirements

  • Inducements

  • Research and Execution Services

  • Agent as Client and Reliance on Others

  • Optional Additional Products

  • Client categorisation

  • Policies, Procedures, and Records

  • Distance communications

  • Information about the firm, its services and remuneration

  • Client agreements (MIFID & non-MIFID provisions)

  • Suitability Assessments

  • Firms with Insistent Clients

  • Information to be Provided to Clients

  • Appropriateness

  • Best Execution

  • Client Order Handling

  • Personal Account Dealing

  • Underwriting and Placing

  • Investment Research

  • Preparing Product Information

  • Providing Product Information to Clients

  • Cancellation

  • Claims handling for long-term care insurance

  • Specialist Regimes

  • Corporate Finance Business

  • UCITS Management Companies

  • Lloyd’s Market Activities

  • Insurance Special Purpose Vehicles (ISPVs)

  • Pension Transfers, Conversions, and Opt-Outs

  • Personal Pensions, FSAVCs, and AVCs

  • Open Market Options

  • Pensions Nudge and Retirement Risk Warnings

  • Pensions Dashboards

  • With-profits

  • Permitted Links and Conditional Permitted Links

  • Restrictions on the distribution of certain complex investment products