COBS 18.4 Stock lending activity

COBS 18.4.1RRP

The provisions of COBS in the table do not apply in relation to any stock lending activity carried on by a firm3:

COBS

Subject

16.1A

Adviser charging and remuneration

16.1B

Retail investment product provider requirements relating to adviser charging and remuneration

COBS 6.2B3

1

Describing advice services

2

2

6.4

Disclosure of charges, remuneration and commission

9.4

Suitability reports

9.6

Special rules for providing basic advice on a stakeholder product

3

3

COBS 16A.4.53

Guidance on contingent liability transaction

16.5

Quotations for surrender values

16.6

Life insurance contracts - communications to clients

16 Annex 1 R (1) 14

Information to be provided in accordance with COBS 16.2.1 R and 16.3

COBS 18.4.2GRP

The provisions of COBS in the table are unlikely to be relevant in relation to any stock lending activity carried on by a firm3:

COBS

Description

5

Distance communications, except in relation to distance contracts concluded with consumers

7

Insurance distribution4

13

Preparing product information

14.2

Providing product information

15

Cancellation, except cancellation and withdrawal rights in relation to distance contracts concluded with consumers

17

Claims handling for long-term care insurance

18.1

Trustee firms' regime

18.2

Energy market activity and oil market activity

3

3

19

Pensions - supplementary provisions

20

With-profits