COBS - Complyport UK Consultancy Service

Firms may provide projections to retail investors in addition to PRIIPs KIDs

Of relevance to: Manufacturers of packaged retail and insurance-based investment products and persons advising on, or selling, those products to retail investors. Key date: Applicable from 1 January 2018 Following […] [...]

Contract for Difference Products: FCA Concerns

Following a review of new client take-on procedures in a sample of ten firms that offered contract for difference (“CFD”) products, the FCA has published a ‘Dear CEO’ letter. We […] [...]

CASS changes

A reminder that the second phase of changes to the CASS regime came into being on 1 December – see Regulatory Roundup 56. Policy Statement PS14/9 (‘Review of the client […] [...]

Restrictions on Retail Distribution

The last Regulatory Roundup (No 59) advised that a new chapter in COBS came into force on 1 October – COBS 22 “Restrictions on distribution of contingent convertible instruments” (‘CoCos’). […] [...]

COBS and CoCos

A new chapter in COBS came into force on 1 October – COBS 22 “Restrictions on distribution of contingent convertible instruments”. The provisions are effectively a copy of the short-lived […] [...]

Best Execution and Payment for Order Flow: The FCA talks tough

Recipients of our recent Regulatory Roundup (issue 58) may have read the article on ‘Best Execution and Payment For Order Flow’ following the publication by the FCA of its findings […] [...]

Best Execution and Payment For Order Flow

Following a thematic review of best execution (see Regulatory Roundup 53) the FCA has now published the results of its findings – TR14/13: “Best execution and payment for order flow”. […] [...]

Changes to Dealing Commission Rules

Regulatory Roundup 52 included an article on the FCA’s consultation (CP13/17) on proposed changes to the rules on the use of dealing commission (COBS 11.6). The recently published Policy Statement […] [...]

CASS Proposals

Following the proposed changes to CASS 1A (classification and oversight) and CASS 8 (mandates), as mentioned in Regulatory Roundup 43, and the introduction of the CASS resolution pack concept in […] [...]

CASS Update

The FSA is consulting (CP12/15) on changes in two areas of CASS: firm classification and oversight (CASS 1A) and mandates (CASS 8). The changes to CASS 1A will include clarification […] [...]

Tag: COBS

Firms may provide projections to retail investors in addition to PRIIPs KIDs

Contract for Difference Products: FCA Concerns

CASS changes

Restrictions on Retail Distribution

COBS and CoCos

Best Execution and Payment for Order Flow: The FCA talks tough

Best Execution and Payment For Order Flow

Changes to Dealing Commission Rules

CASS Proposals

CASS Update

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