Content Options

Content Options

View Options

Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

Status: In this content, we have included all amendments made by EU exit-related instruments up to end September 2020. There will be more amendments to be made later this year, further to the September QCP.

periodic statement

    a report which a firm is required to provide to a client 46 pursuant to:157

      1. (a) COBS 16.3 (Periodic reporting) where the firm is carrying on designated investment business other than MiFID, equivalent third country or optional exemption business;157
      1. (b) article 60(1) of the MiFID Org Regulation where the firm is carrying on MiFID business;157
      1. (c) GEN 2.2.22AR and COBS 16A.4.1EU where the firm is carrying on the equivalent business of a third country investment firm;157
      1. (d) COBS 16A.1.2R and COBS 16A.4.1EU where the firm is carrying on MiFID optional exemption business161.157

    [Note: see COBS 16A.4.1EU where article 60(1) of the MiFID Org Regulation is reproduced]157.5