FCA CP · FCA
FCA CP17/23
Closed 20 Oct 2017
Read the official text on the FCA website(opens in a new tab)Summary pending.
Details
| Reference | CP17/23 |
|---|---|
| Issuer | FCA |
| Closing date | 20 Oct 2017 (Closing date as reported by Regulation Tomorrow) |
Provisions it relates to
- MiFID II (whole act)Inferred · 70%
FCA Handbook
Handbook provisions the Handbook lists against this paper (only those linked to MiFID II or MiFIR material are shown).
- SYSC 9.1.-2G Application to a common platform firm
- SYSC 10.1.-2G Application to a common platform firm
- SYSC 10.1.2G Requirements only apply if a service is provided
- SYSC 10.1.3R Identifying conflicts
- SYSC 10.1.4AG Types of conflicts
- SYSC 10.1.6R Record of conflicts
- SYSC 10.1.6AG Record of conflicts
- SYSC 10.1.6AAR Record of conflicts
- SYSC 10.1.6BG Record of conflicts
- SYSC 10.1.7R Managing conflicts
- SYSC 10.1.8R Disclosure of conflicts
- SYSC 10.1.10R Conflicts policy
- SYSC 10.1.11R Contents of policy
- SYSC 10.1.11AG Contents of policy
- SYSC 10.1.11AAR Contents of policy
- SYSC 10.1.11ABR
- SYSC Sch 1.2G
- COBS 1 Annex 1
- COBS 2.1.1R The client's best interests rule
- COBS 2.2.-1R Application
- COBS 2.2A.2R Information disclosure in good time
- COBS 2.2A.3R Information disclosure in good time
- COBS 2.3A.5R Rules on inducements
- COBS 2.3A.6R Rules on inducements
- COBS 2.3A.8R Fees, commissions or non-monetary benefits which are designed to enhance the quality of a service
- COBS 2.3A.9R Fees, commissions or non-monetary benefits which are designed to enhance the quality of a service
- COBS 2.3A.10R Disclosure of payments or benefits received from, or paid to, third parties
- COBS 2.3A.11R Disclosure of payments or benefits received from, or paid to, third parties
- COBS 2.3A.12R Disclosure of payments or benefits received from, or paid to, third parties
- COBS 2.3A.13R Disclosure of payments or benefits received from, or paid to, third parties
- COBS 2.3A.14R Disclosure of payments or benefits received from, or paid to, third parties
- COBS 2.3A.15R Inducements relating to the provision of independent advice, restricted advice and portfolio management services to retail clients in the United Kingdom
- COBS 2.3A.16R Inducements relating to the provision of independent advice and portfolio management services to retail clients outside the United Kingdom or to professional clients
- COBS 2.3A.18G Fees, commission, and non-monetary benefits paid or provided by a person on behalf of the client
- COBS 2.3A.19R Acceptable minor non-monetary benefits
- COBS 2.3A.20G Acceptable minor non-monetary benefits
- COBS 2.3A.21G Acceptable minor non-monetary benefits
- COBS 2.3A.22G Acceptable minor non-monetary benefits
- COBS 2.3A.30G Guidance on inducements
- COBS 2.3A.32R Record keeping: inducements
- COBS 2.3A.33G Record keeping: inducements
- COBS 4.1.4G
- COBS 4.2.1R The fair, clear and not misleading rule
- COBS 4.2.2G The fair, clear and not misleading rule
- COBS 4.3.1R
- COBS 6.1A.5BG Acceptable minor non-monetary benefits
- COBS 6.1ZA.10AR Information concerning safeguarding of client money: insurance distribution
- COBS 6.1ZA.11R Information about costs and associated charges: MiFID and insurance distribution
- COBS 6.1ZA.12R Information about costs and associated charges: MiFID and insurance distribution
- COBS 6.1ZA.13R Information about costs and associated charges: MiFID and insurance distribution
- COBS 9A.2.1R
- COBS 9A.2.2G
- COBS 9A.2.4R Assessing the extent of the information required: MiFID business
- COBS 9A.2.5R Professional clients: MiFID business
- COBS 9A.2.6R Obtaining information about knowledge and experience: MiFID business
- COBS 9A.2.7R Obtaining information about a client’s financial situation: MiFID business
- COBS 9A.2.8R Obtaining information about a client’s investment objectives: MiFID business
- COBS 9A.2.9R Reliability of information: MiFID business
- COBS 9A.2.16R Bundled packages: MiFID business and insurance-based investment products
- COBS 9A.2.21G Guidance on assessing suitability: MiFID business and insurance-based investment products
- COBS 9A.3.2R Suitability reports: MiFID business and insurance-based investment products
- COBS 9A.3.6R Periodic assessments: MiFID business and insurance-based investment products
- COBS 9A.4.2G Record keeping: MiFID business and insurance-based investment products
- COBS 10A.2.1R
- COBS 10A.2.2R Bundled packages: MiFID business and insurance-based investment products
- COBS 10A.3.1R
- COBS 10A.4.1R
- COBS 10A.5.1G The initiative of the client: MiFID business and insurance-based investment products
- COBS 10A.5.2G The initiative of the client: MiFID business and insurance-based investment products
- COBS 16A.2.1R
- COBS 16A.3.1R Execution of orders other than when undertaking portfolio management
- COBS 16A.4.1R Provision by a firm and contents: MiFID business
- COBS 16A.4.2G Provision by a firm and contents: MiFID business
- COBS Sch 1.2AG
- COBS Sch 1.3G
- CASS 9.4.2AR
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