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) |
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1. |
the name of the firm; |
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2. |
the name or other designation of the retail client's account; |
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3. |
a statement of the contents and the valuation of the portfolio, including details of: |
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(a) |
each designated investment held, its market value or fair value if market value is unavailable; |
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(b) |
the cash balance at the beginning and at the end of the reporting period; and |
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(c) |
the performance of the portfolio during the reporting period; |
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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; |
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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; |
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6. |
the total amount of dividends, interest and other payments received during the reporting period in relation to the client's portfolio; and |
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7. |
information about other corporate actions giving rights in relation to designated investments held in the portfolio. |
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[Note: article 41(2) of MiFID implementing Directive] |