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    2024-04-04

COBS 16A.1 Application

COBS 16A.1.1R

1This chapter applies to a firm in relation to:2

  1. (1)

    its MiFID, equivalent third country or optional exemption business; and2

  2. (2)

    carrying on insurance distribution activities relating to an insurance-based investment product.2

Effect of provisions marked “UK” for third country investment firms and MiFID optional exemption firms

COBS 16A.1.2R

Provisions in this chapter marked “UK”3 and including a Note (‘Note:’) referring to the MiFID Org Regulation2 apply in relation to MiFID optional exemption business as if they were rules (see COBS 1.2.2G).

COBS 16A.1.2AG

The effect of GEN 2.2.22AR is that provisions in this chapter marked “UK”3 also apply in relation to the equivalent business of a third country investment firm as if they were rules.

Effect of provisions marked “UK” for firms distributing insurance-based investment products

COBS 16A.1.3R

2Provisions in this chapter marked “UK”3 and including a Note (‘Note:’) referring to the IDD Regulation apply as if they were rules to firms to whom the IDD Regulation does not apply, when doing insurance distribution.