To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).
-
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
-
COBS 14.2 Providing product information to clients
Chapter: Providing product information to clients
Effective Date: 26th July 2007
-
COBS 11.2 Best execution for AIFMs and residual CIS operators
Chapter: Dealing and managing
Effective Date: 26th July 2007
-
COBS 6.2A Describing advice services [deleted]
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
-
COBS 18.5 Residual CIS operators and small authorised UK AIFMs
Chapter: Specialist Regimes2007/58
Effective Date: 25th October 2007
-
COBS 14.3 Information about designated investments (non-MiFID provisions)
Chapter: Providing product information to clients
Effective Date: 28th June 2007
-
COBS 22.2 Restrictions on the retail distribution of mutual society shares
Chapter: Restrictions on the distribution of certain complex investment productsRestrictions on distribution of contingent convertible instruments
Effective Date: 12th June 2015
-
COBS 6.1A Adviser charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
-
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
-
COBS 9.6 Special rules for giving basic advice on a stakeholder product
Chapter: Suitability (including basic advice)
Effective Date: 26th July 2007
-
COBS 4.5 Communicating with retail clients (non-MiFID provisions)
Chapter: Communicating with clients, including financial promotions
Effective Date: 24th January 2008
-
COBS 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 23rd July 2009
-
COBS 6.1C Consultancy charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 24th June 2010
-
COBS 19.7 Retirement risk warnings
Chapter: Pensions – supplementary provisions
Effective Date: 26th February 2015
-
COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
-
COBS 4.7 Direct offer financial promotions
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
-
COBS 11.8 Recording telephone conversations and electronic communications [deleted]
Chapter: Dealing and managing
Effective Date: 28th February 2008
-
COBS 12.2 Investment research and non-independent research
Chapter: Investment research
Effective Date: 25th October 2007
-
COBS 4.1 Application
Chapter: Communicating with clients, including financial promotions
Effective Date: 24th May 2007
-
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