Latest News, Updates and Changes
COBS 4.12A Promotion of restricted mass market investments
Publish Date: 1st August 2022
COBS 4.12A Promotion of restricted mass market investments
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COBS 4.12A Promotion of restricted mass market investments
Changes to this piece of Handbook content became effective this month.
Effective Date: 2nd April 2024
COBS 4.12A Promotion of restricted mass market investments
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restricted mass market investment
Publish Date: 1st August 2022
restricted mass market investment
217 any of the following: (a) a non-readily realisable security ; (b) a P2P agreement ; (c) a P2P portfolio ; 219 219 (d) a unit in a long-term asset fund 220 ; 220 (e) a qualifying cryptoasset .
operating a dormant asset fund
Publish Date: 1st August 2022
operating a dormant asset fund
108 any of the regulated activities of: (a) meeting of repayment claims ; or 108 (b) managing dormant asset funds (including the investment of such funds) . 108…
COBS 4 Annex 4 Self-certified sophisticated investor statement
Publish Date: 1st August 2022
COBS 4 Annex 4 Self-certified sophisticated investor statement
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eligible pension benefits
Publish Date: 1st August 2022
eligible pension benefits
158 in DISP 2.7.6R(14B) means: (a) benefits in the form of income withdrawal that have become payable under a personal pension scheme ; (b) benefits that have become payable under a personal pension s…
COBS 4.12B Promotion of non-mass market investments
Changes to this piece of Handbook content became effective this month.
Effective Date: 2nd April 2024
COBS 4.12B Promotion of non-mass market investments
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COBS 4 Annex 5 Restricted investor statement
Publish Date: 1st August 2022
COBS 4 Annex 5 Restricted investor statement
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restricted mass market investment
Publish Date: 1st August 2022
restricted mass market investment
217 any of the following: (a) a non-readily realisable security ; (b) a P2P agreement ; (c) a P2P portfolio .
COBS 4.12A Promotion of restricted mass market investments
Publish Date: 1st August 2022
COBS 4.12A Promotion of restricted mass market investments
…
COBS 4.12A Promotion of restricted mass market investments
Publish Date: 1st August 2022
COBS 4.12A Promotion of restricted mass market investments
…
COBS 4 Annex 5 Restricted investor statement
Publish Date: 1st August 2022
COBS 4 Annex 5 Restricted investor statement
…
COBS 4.12B Promotion of non-mass market investments
Publish Date: 1st August 2022
COBS 4.12B Promotion of non-mass market investments
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self-certified sophisticated investor
Publish Date: 1st August 2022
self-certified sophisticated investor
221 a person who meets the requirements set out in article 23A of the Promotion of Collective Investment Schemes Order , in article 50A of the Financial Promotion Order 214 or in COBS 4.12B.40R 214 .
non-mass market investment
Publish Date: 1st August 2022
non-mass market investment
95 either of the following: (a) a non-mainstream pooled investment ; (b) a speculative illiquid security .
COBS 4 Annex 5 Restricted investor statement
Publish Date: 1st August 2022
COBS 4 Annex 5 Restricted investor statement
…
COBS 4.12A Promotion of restricted mass market investments
Publish Date: 1st August 2022
COBS 4.12A Promotion of restricted mass market investments
…
certified sophisticated investor
Publish Date: 1st August 2022
certified sophisticated investor
a person who meets the requirements set out in article 23 of the Promotion of Collective Investment Schemes Order , in article 50 of the Financial Promotion Order or in COBS 4.12B.39R 267 .
FCA 2022/33: Financial Promotions and High-Risk Investments Instrument 2022
Publish Date: 1st August 2022
FCA 2022/33: Financial Promotions and High-Risk Investments Instrument 2022
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