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Status: You are viewing the version of the handbook as on 2005-06-30.

COB Sch 4 Powers Exercised

COB Sch 4.1G

The following powers and related provisions in or under the Act have been exercised by the FSA to make the rules in COB:

Section 118(8) (Market abuse)

Section 138 (General rule-making power)

Section 139 (4) (Miscellaneous ancillary matters)

Section 145 (Financial promotion rules)

Section 147 (Control of information rules)

Section 149 (Evidential provisions)

Section 156 (General supplementary powers)

Section 238(5) (Restrictions on promotion)

Section 247 (Trust scheme rules)

Regulation 6(1) of The Open-Ended Investment Companies Regulations 2001

The following powers in the Act have been exercised by the FSA to give the guidance in COB:

Section 157(1) (Guidance)321