Related provisions for COBS 18.3.1

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COBS 11.8.2RRP
This section does not apply to the carrying on of the following activities:(1) activities carried on between operators, or between operators and depositories, of the same fund3 (when acting in that capacity);3(2) corporate finance business;(3) corporate treasury functions.
COBS 12.2.9GRP
A financial analyst should not become involved in activities other than the preparation of investment research where such involvement is inconsistent with the maintenance of the financial analysts objectivity. The following should ordinarily be considered as inconsistent with the maintenance of a financial analyst's objectivity:(1) participating in investment banking activities such as corporate finance business and underwriting; or(2) participating in 'pitches' for new business
COBS 18.3.2GRP

The provisions of COBS in the table are unlikely to be relevant to any corporate finance business carried on by a firm which is MiFID or equivalent third country business:




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


Insurance mediation


Preparing product information


Providing product information


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


Claims handling for long-term care insurance


Trustee firms' regime


Energy market activity and oil market activity


Stock lending activity


Pensions - supplementary provisions



COBS 18.3.4GRP
COBS 15 (Cancellation) is likely to be of limited application to corporate finance business. Distance contracts concluded with consumers in the course of corporate finance business will be exempt from COBS 15 if the price of the financial service is dependent on fluctuations in the financial market outside the firm's control.