COBS 18.4 Stock lending activity
The provisions of COBS in the table do not apply in relation to any stock lending activity carried on by a firm which is MiFID or equivalent third country business:
COBS |
Subject |
Adviser charging and remuneration |
|
Retail investment product provider requirements relating to adviser charging and remuneration |
|
Describing advice services |
|
Disclosing information about services, fees and commission - packaged products |
|
Disclosure of charges, remuneration and commission |
|
Suitability reports |
|
Special rules for providing basic advice on a stakeholder product |
|
Use of dealing commission |
|
Guidance on contingent liability transaction |
|
Quotations for surrender values |
|
Life insurance contracts - communications to clients |
|
Information to be provided in accordance with COBS 16.2.1 R and 16.3 |
The provisions of COBS in the table are unlikely to be relevant in relation to any stock lending activity carried on by a firm which is MiFID or equivalent third country business:
COBS |
Description |
Distance communications, except in relation to distance contracts concluded with consumers |
|
Insurance mediation |
|
Preparing product information |
|
Providing product information |
|
Cancellation, except cancellation and withdrawal rights in relation to distance contracts concluded with consumers |
|
Claims handling for long-term care insurance |
|
Trustee firms' regime |
|
Energy market activity and oil market activity |
|
Corporate finance business |
|
Pensions - supplementary provisions |
|
With-profits |