COBS 18.4 Stock lending activity

COBS 18.4.1R27/03/2017

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
16.1A	Adviser charging and remuneration
16.1B	Retail investment product provider requirements relating to adviser charging and remuneration
16.2A	Describing advice services
2	2
6.4	Disclosure of charges, remuneration and commission
9.4	Suitability reports
9.6	Special rules for providing basic advice on a stakeholder product
11.6	Use of dealing commission
16.3.9	Guidance on contingent liability transaction
16.5	Quotations for surrender values
16.6	Life insurance contracts - communications to clients
16 Annex 1 R (1) 14	Information to be provided in accordance with COBS 16.2.1 R and 16.3

COBS 18.4.2G01/11/2007

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
5	Distance communications, except in relation to distance contracts concluded with consumers
7	Insurance mediation
13	Preparing product information
14.2	Providing product information
15	Cancellation, except cancellation and withdrawal rights in relation to distance contracts concluded with consumers
17	Claims handling for long-term care insurance
18.1	Trustee firms' regime
18.2	Energy market activity and oil market activity
18.3	Corporate finance business
19	Pensions - supplementary provisions
20	With-profits

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