Related provisions for COBS 18.2.3

1 - 1 of 1 items.

Search Term(s)

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

COBS 18.2.1RRP
The provisions of COBS in the table do not apply in relation to any energy market activity or oil market activity carried on by a firm which is MiFID or equivalent third country business: COBSDescription36.1AAdviser charging and remuneration36.1BRetail investment product provider requirements relating to adviser charging and remunerationCOBS 6.2B53Describing advice services446.4Disclosure of charges, remuneration and commission9.4Suitability reports9.6Special rules for providing
COBS 18.2.2GRP
The provisions of COBS in the table are unlikely to be relevant to any energy market activity or oil market activity carried on by a firm which is MiFID or equivalent third country business:COBSDescription5Distance communications7Insurance distribution613Preparing product information14.2Providing product information to clients15Cancellation17Claims handling for long-term care insurance18.1Trustee firms' regime18.3Corporate finance business18.4Stock lending activity19Pensions -
COBS 18.2.4RRP
1Only the COBS provisions in the table apply to energy market activity or oil market activity carried on by a firm which is not MiFID or equivalent third country business but which, if the firm were not authorised, would not be a regulated activity because of article 16 of the Regulated Activities Order (Dealing in contractually based investments) or article 22 of the Regulated Activities Order (Deals with or through authorised persons etc.).COBSDescription1Application2.4Agent
COBS 18.2.5RRP
1COBS applies as set out in the table to firms in respect of activities referred to in the general application rule related to:(1) commodity futures; or(2) commodity options; or(3) contracts for differences related to an underlying commodity; or(4) other futures or contracts for differences which are not related to commodities, financial instruments or cash;which is not MiFID or equivalent third country business and energy market activity or oil market activity.Application of