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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 2,
The aim of cobs 3
5  cards
1.2) Firms Subject to COBS
What is the general application r...,
When do cobs generally apply 2,
What is eea territorial scope rule 3
8  cards
1.3) Activities Subject to COBS
What activities are subject to co...,
What cobs rules are dis applied f...,
Cobs 114 client limit orders 3
3  cards
1.4) Appointed Representatives
Cobs rules appointed representati...,
Why are appointed representatives...,
Firms communicate financial promo...
3  cards
1.5) Electronic Media
The fca rules electronic media 1,
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 3
10  cards
2.) Accepting Client: Client Categorisation
When is a firm required to catego...,
Mifid business 2,
Non mifid business 3
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 1,
Firms appropriate information 2,
Retail professional clients appro...
9  cards

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The FCA's Conduct of Business and Client Assets Sourcebooks

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