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The FCA's Conduct of Business and Client Assets Sourcebooks

This class was created by Brainscape user Joseph Adams. Visit their profile to learn more about the creator.

By: Joseph Adams
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Decks in this class (11)

1.) Application and General Provisions of COBS
Where is the conduct of business ...,
When did cobs come into force,
The aim of cobs
5  cards
1.2) Firms Subject to COBS
What is the general application rule,
When do cobs generally apply,
What is eea territorial scope rule
8  cards
1.3) Activities Subject to COBS
What activities are subject to cobs,
What cobs rules are dis applied f...,
Cobs 114 client limit orders
3  cards
1.4) Appointed Representatives
Cobs rules appointed representatives,
Why are appointed representatives...,
Firms communicate financial promo...
3  cards
1.5) Electronic Media
The fca rules electronic media,
The fca rules refer to informatio...
2  cards
1.6) Recording of Telephone Conversations and Electronic Communications
How does the fca detect and deter...,
What kind of communications certa...,
How are these communications held
10  cards
2.) Accepting Client: Client Categorisation
When is a firm required to catego...,
Mifid business,
Non mifid business
17  cards
2.1.5) Recatagorising Clients and Providing lower levels of Protection
A retail client may be treated as...,
A retail client may be treated as...,
Client passing the qualitative an...
5  cards
2.1.6) Recategorising Clients and Providing Higher Levels of Protection
Request recategorisation professi...,
Recategorising clients firms init...,
Recategorisation financial instru...
5  cards
2.2) Client Agreements
Client agreements designated inve...,
Client agreement written basic ag...,
Client agreements before the agre...
6  cards
2.3) Information Requirements
Cobs 22,
Firms appropriate information,
Retail professional clients appro...
9  cards

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The FCA's Conduct of Business and Client Assets Sourcebooks

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