To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
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COBS 11.2 Best execution for AIFMs and residual CIS operators
Chapter: Dealing and managing
Effective Date: 26th July 2007
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COBS 10.5 Assessing appropriateness: guidance
Chapter: Appropriateness (for non-advised services)
Effective Date: 25th October 2007
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COBS 10.2 Assessing appropriateness: the obligations
Chapter: Appropriateness (for non-advised services)
Effective Date: 25th October 2007
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COBS 12.2 Investment research and non-independent research
Chapter: Investment research
Effective Date: 25th October 2007
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COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)
Chapter: Information about the firm, its services and remuneration
Effective Date: 24th May 2007
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COBS 4.5 Communicating with retail clients (non-MiFID provisions)
Chapter: Communicating with clients, including financial promotions
Effective Date: 24th January 2008
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COBS 4.1 Application
Chapter: Communicating with clients, including financial promotions
Effective Date: 24th May 2007
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COBS 14.3 Information about designated investments (non-MiFID provisions)
Chapter: Providing product information to clients
Effective Date: 28th June 2007
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COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 23rd July 2009
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COBS 4.10 Systems and controls and approving and communicating financial promotions
Chapter: Communicating with clients, including financial promotions
Effective Date: 24th March 2015
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COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds
Chapter: Restrictions on the distribution of certain complex investment productsRestrictions on distribution of contingent convertible instruments
Effective Date: 12th June 2015
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COBS 10.4 Assessing appropriateness: when it need not be done
Chapter: Appropriateness (for non-advised services)
Effective Date: 3rd July 2017
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COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
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COBS 12.3 Non-independent research [deleted]
Chapter: Investment research
Effective Date: 3rd July 2017
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COBS 16.3 Periodic reporting
Chapter: Reporting information to clients
Effective Date: 22nd January 2009
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COBS 9.4 Suitability reports
Chapter: Suitability (including basic advice)
Effective Date: 26th July 2007
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COBS 11.6 Use of dealing commission [deleted]
Chapter: Dealing and managing
Effective Date: 26th July 2007
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COBS 9.6 Special rules for giving basic advice on a stakeholder product
Chapter: Suitability (including basic advice)
Effective Date: 26th July 2007
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COBS 11.8 Recording telephone conversations and electronic communications [deleted]
Chapter: Dealing and managing
Effective Date: 28th February 2008