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Financial Conduct Authority
Conduct Of Business
COBS 1 – Application and Purpose
COBS 2 – Treating Customers Fairly and Managing Conflicts of Interest
COBS 3 – Communications with Clients and Financial Promotions
COBS 4 – Requirements for Advising and Selling Non-Investment Insurance Contracts
COBS 5 – Suitability and Appropriateness
COBS 6 – Information About Investments
COBS 7 – Insurance Distribution and Information Disclosure Rules
COBS 8 – Operating a Multilateral Trading Facility (MTF) or Organised Trading Facility (OTF)
COBS 8A – Client Agreements – Written Client Contracts for MiFID Services
COBS 9 – Suitability (Including Basic Advice)
COBS 9A – Suitability for MiFID Investment Advice and Portfolio Management
COBS 10 – Appropriateness for Non‑MiFID Investment Services
COBS 10A – Appropriateness for MiFID Execution-Only Services
COBS 11 – Dealing and Managing Client Orders
COBS 11A – Underwriting and Placing – Managing Research Access during Public Offers
COBS 12 – Investment Research and Non-Independent Research
COBS 13 – Client Categorisation and Appropriateness
COBS 14 – Suitability Requirements for Advising and Selling Investments
COBS 15 – Client Reporting Requirements
COBS 16 – Execution of Client Orders and Best Execution
COBS 17 – Client Money and Assets – Safeguarding and Handling Requirements
COBS 18 – Client Assets – Custody and Control Requirements
COBS 19 – Execution and Transmission of Orders – Rules for Best Execution and Order Handling
COBS 20 – Conflicts of Interest – Managing and Disclosing Conflicts
COBS 21 – Client Orders and Best Execution – Client Order Handling Rules
COBS 22 – Client Reporting – Rules on Client Reporting Requirements
COBS TP 1 – Treatment of Pension Transfers and Pension Conversion – Rules on Pension Transfer Advising
COBS TP 2 – Pension Transfer Advice for Pension Opt-Out and Flexibility Arrangements – Guidance on Advising on Pension Opt-Outs and Flexible Pension Arrangements
COBS Sch 1 – Schedule 1: Categories of Specified Investments – Classification of Investments Under COBS
COBS Sch 2 – Excluded Investments
COBS Sch 3 Fees and other required payments
COBS Sch 5 – Client Compensation Rights
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Principles Of Business
PRIN 1 - Application and purpose
PRIN 2 - The Principles
PRIN 2A.1 - Application and Purpose
PRIN 3 – Application of the Principles for Businesses
PRIN 4 – Fitness and Propriety
PRIN TP 1 – Transitional Provisions
PRIN Schedules 1 to 6
PRIN 2A.4 - Price and Value Rules
PRIN 2A.2 - Cross-cutting Obligations
Client Asset Sourcebook
CASS 1 – Application and Purpose
CASS 1A
CASS 3 – Client Assets
CASS 5 – Client Assets
CASS 6 – Safeguarding of Client Money
CASS 7 – Record Keeping and Reconciliation
CASS 7A – Client Assets – Record Keeping and Reconciliation for Client Money
CASS 8 – Client Asset Mandates
CASS 9 – Client Asset Information: Disclosure and Transparency to Clients
CASS 10 – Client Money: Client Money Rules for Firms Holding Client Money
CASS 11 – Client Assets: Client Assets Sourcebook - Client Assets Financial Instruments Rules
CASS 12 – Client Assets: Client Asset Financial Instruments Default Rules – Client Protection on Firm Default
CASS 13 – Client Assets: Client Assets Sourcebook - Client Asset Insurance and Compensation
CASS 14 – Ensuring Accurate Client Asset Records
Main
Financial Conduct Authority
Conduct Of Business
Category - Conduct Of Business
Articles
COBS 1 – Application and Purpose
COBS 2 – Treating Customers Fairly and Managing Conflicts of Interest
COBS 3 – Communications with Clients and Financial Promotions
COBS 4 – Requirements for Advising and Selling Non-Investment Insurance Contracts
COBS 5 – Suitability and Appropriateness
COBS 6 – Information About Investments
COBS 7 – Insurance Distribution and Information Disclosure Rules
COBS 8 – Operating a Multilateral Trading Facility (MTF) or Organised Trading Facility (OTF)
COBS 8A – Client Agreements – Written Client Contracts for MiFID Services
COBS 9 – Suitability (Including Basic Advice)
COBS 9A – Suitability for MiFID Investment Advice and Portfolio Management
COBS 10 – Appropriateness for Non‑MiFID Investment Services
COBS 10A – Appropriateness for MiFID Execution-Only Services
COBS 11 – Dealing and Managing Client Orders
COBS 11A – Underwriting and Placing – Managing Research Access during Public Offers
COBS 12 – Investment Research and Non-Independent Research
COBS 13 – Client Categorisation and Appropriateness
COBS 14 – Suitability Requirements for Advising and Selling Investments
COBS 15 – Client Reporting Requirements
COBS 16 – Execution of Client Orders and Best Execution
COBS 17 – Client Money and Assets – Safeguarding and Handling Requirements
COBS 18 – Client Assets – Custody and Control Requirements
COBS 19 – Execution and Transmission of Orders – Rules for Best Execution and Order Handling
COBS 20 – Conflicts of Interest – Managing and Disclosing Conflicts
COBS 21 – Client Orders and Best Execution – Client Order Handling Rules
COBS 22 – Client Reporting – Rules on Client Reporting Requirements
COBS TP 1 – Treatment of Pension Transfers and Pension Conversion – Rules on Pension Transfer Advising
COBS TP 2 – Pension Transfer Advice for Pension Opt-Out and Flexibility Arrangements – Guidance on Advising on Pension Opt-Outs and Flexible Pension Arrangements
COBS Sch 1 – Schedule 1: Categories of Specified Investments – Classification of Investments Under COBS
COBS Sch 2 – Excluded Investments
COBS Sch 3 Fees and other required payments
COBS Sch 5 – Client Compensation Rights
+ 12 Articles
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