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Financial Conduct Authority
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- 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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- 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
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- 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
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Category - Financial Conduct Authority
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