Related provisions for COBS 18.3.2

1 - 3 of 3 items.
Results filter

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 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 18.3.1RRP

The provisions of COBS in the table do not apply in respect of any corporate finance business carried on by a firm which is MiFID or equivalent third country business:




Adviser charging and remuneration


Retail investment product provider requirements relating to adviser charging and remuneration


Describing advice services


Disclosing information about services, fees and commission - packaged products


Disclosure of charges, remuneration and commission


Suitability reports


Special rules for providing basic advice on a stakeholder product


Use of dealing commission


Recording telephone conversations and electronic communications


Guidance on contingent liability transaction


Quotations for surrender values


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 18.3.4GRP
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.