Conduct of Business Module (COB) [VER23/08-14]
- COB 1 Introduction
- COB 2 Client Classification
- COB 3 Core Rules — Investment Business, Accepting Deposits, Providing Credit, Providing Trust Services, Operating a Crowdfunding Platform, Operating An Employee Money Purchase Scheme And Acting As The Administrator Of An Employee Money Purchase Scheme
- COB 4 Additional Rules — Accepting Deposits and Providing Credit
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COB 5 Additional Rules — Providing Trust Services
- COB 5.1 Application
- COB 5.2 General
- COB 5.3 Reviews
- COB 5.4 Professional Indemnity Insurance Cover
- COB 5.5 Dual Control
- COB 5.6 Internal Reporting
- COB 5.7 Recording of Selection Criteria
- COB 5.8 Qualification and Experience of Trust Service Provider Staff
- COB 5.9 Books and Records
- COB 5.10 Due Diligence
- COB 5.11 Fitness and Propriety of Persons Acting as Trustees
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COB 6 Additional Rules — Investment Business
- COB 6.1 Application
- COB 6.2 Personal Account Transactions
- COB 6.3 Investment Research and Offers of Securities
- COB 6.4 Best Execution
- COB 6.5 Non-market Price Transactions
- COB 6.6 Aggregation and Allocation
- COB 6.7 Record Keeping — Voice and Electronic Communications
- COB 6.8 Other Dealing Rules
- COB 6.9 Confirmation Notes
- COB 6.10 Periodic Statements
- COB 6.11 Client Assets
- COB 6.12 Client Money
- COB 6.13 Client Investments
- COB 6.14 Record Keeping
- COB 6.15 Advising on or Arranging Direct Long-Term Insurance
- COB 6.15 Advising on or Arranging Direct Long-Term Insurance
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COB 7 Core Rules — Insurance
- COB 7.1 Application and Interpretation
- COB 7.1A Table Illustrating the Application of the Rules in this Chapter
- COB 7.2 Insurance Business, Management and Intermediation Restrictions
- COB 7.3 Communication of Information and Marketing Material
- COB 7.4 Client's Duty of Disclosure
- COB 7.5 Authorised Firm's Duty of Disclosure
- COB 7.6 Disclosure of Costs and Remuneration
- COB 7.7 Information About the Proposed Insurance
- COB 7.8 Suitability
- COB 7.9 Managing Conflicts of Interest
- COB 7.10 Placement of Insurance
- COB 7.11 Providing an Ongoing Service
- COB 7.12 Insurance Monies
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COB 8 Specific Rules – Operating A Credit Rating Agency
- COB 8.1 Application
- COB 8.2 Additional Principles for Credit Rating Agencies
- COB 8.3 Quality of the rating process
- COB 8.4 Integrity of the credit rating process
- COB 8.5 Conflicts of interest and independence
- COB 8.6 Independence of Rating Analysts and other Employees
- COB 8.7 Transparency and disclosure
- COB 8.8 Disclosure and presentation of Credit Ratings
- COB 8.9 Confidential information
- COB 8.10 Record keeping
- COB 9 Additional Rules: Operating an Alternative Trading System
- COB 10 Custody Providers Acting as a Central Securities Depository ("CSD")
- COB 11 Crowdfunding
- COB 12 OPERATING OR ACTING AS THE ADMINISTRATOR OF AN EMPLOYEE MONEY PURCHASE SCHEME
- COB 13 Providing Money Services And Arranging Or Advising On Money Services
- COB App 1 Records of Orders and Transactions
- COB App 2 Key Information and Client Agreement
- COB App 3 Confirmation of Transactions
- COB App 4 Periodic Statements
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COB App 5 Client Money Provisions
- COB A5.1 Application
- COB A5.2 General Requirements
- COB A5.3 Payment of Client Money into Client Accounts
- COB A5.4 Client Accounts
- COB A5.5 Exceptions to Holding Client Money in Client Accounts
- COB A5.6 Appointment of a Third Party Agent
- COB A5.7 Payment of Client Money to a Third Party Agent
- COB A5.8 Payment of Client Money from Client Accounts
- COB A5.9 Client Disclosure
- COB A5.10 Client Reporting
- COB A5.11 Reconciliation
- COB A5.12 Auditor's Reporting Requirements
- COB A5.13 Client Money Distribution Rules
- COB A5.14 Failure to Comply with this Appendix
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COB App 6 Safe Custody Provisions
- COB A6.1 Application
- COB A6.2 General Requirements
- COB A6.3 Recording, Registration and Holding Requirements
- COB A6.4 Client Accounts in relation to Client Investments
- COB A6.5 Holding or Arranging Custody with Third Party Agents
- COB A6.6 Safe Custody Agreements with Third Party Agents
- COB A6.7 Client Disclosure
- COB A6.8 Client Reporting
- COB A6.9 Reconciliation
- COB A6.10 Auditor's Reporting Requirements
- COB App 7 Providing Money Services And Arranging Or Advising On Money Services Provisions