COBS 16 Annex 2R Information to be included in a Periodic report

This annex forms part of COBS 16.3.1 R.

Periodic information (all cases)

1.

the name of the firm;

2.

the name or other designation of the retail client's account;

3.

a statement of the contents and the valuation of the portfolio, including details of:

(a)

each designated investment held, its market value or fair value if market value is unavailable;

(b)

the cash balance at the beginning and at the end of the reporting period; and

(c)

the performance of the portfolio during the reporting period;

4.

the total amount of fees and charges incurred during the reporting period, itemising at least total management fees and total costs associated with execution, and including, where relevant, a statement that a more detailed breakdown will be provided on request;

5.

a comparison of performance during the period covered by the statement with the investment performance benchmark (if any) agreed between the firm and the client;

6.

the total amount of dividends, interest and other payments received during the reporting period in relation to the client's portfolio; and

7.

information about other corporate actions giving rights in relation to designated investments held in the portfolio.

[Note: article 41(2) of MiFID implementing Directive]