Related provisions for COBS 9.5.1

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Effective Period

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COBS 18.5.15ERP

Table: Periodic statements

This table belongs to COBS 18.5.12 E.

Periodic statements

Suitable intervals


A periodic statement should be provided at least:


six-monthly; or


once in any other period, not exceeding 12 months, which has been mutually agreed between the firm and the investor in the fund.6


Adequate information



A periodic statement should contain:



The information set out in the table of general contents of a periodic statement;


where the portfolio of the fund6 includes uncovered open positions in contingent liability investments, the additional information in the table listing the contents of a periodic statement (see COBS 18.5.18 E6) in respect of contingent liability investments; or



such information as an investor6 who is a retail client ordinarily resident outside the United Kingdom, or a professional client, has on his own initiative agreed with the firm6 as adequate.



For a firm acting as an outgoing ECA provider, the words 'United Kingdom' is replaced by 'EEA'