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 3.8 Policies, procedures and records
Chapter: Client categorisation
Effective Date: 1st November 2007
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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 20.2 Treating with-profits policyholders fairly
Chapter: With-profits
Effective Date: 23rd July 2009
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COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products
Chapter: fConduct of business obligations
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 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 3.7 Providing clients with a higher level of protection
Chapter: Client categorisation
Effective Date: 3rd July 2017
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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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CASS 5.5 Segregation and the operation of client money accounts
Chapter: Client money and mandates2007/4: insurance mediation activity
Effective Date: 16th December 2004
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COBS 4.12 [deleted]
Chapter: Communicating with clients, including financial promotions
Effective Date: 25th October 2007
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COBS 6.1A Adviser charging and remuneration
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
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COBS 9.2 Assessing suitability
Chapter: Suitability (including basic advice)
Effective Date: 25th October 2007
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COBS 6.2A Describing advice services [deleted]
Chapter: Information about the firm, its services and remuneration
Effective Date: 25th March 2010
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COBS 9.4 Suitability reports
Chapter: Suitability (including basic advice)
Effective Date: 26th July 2007
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COBS 14.2 Providing product information to clients
Chapter: Providing product information to clients
Effective Date: 26th July 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 11.8 Recording telephone conversations and electronic communications [deleted]
Chapter: Dealing and managing
Effective Date: 28th February 2008
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COBS 19.7 Pensions nudge and retirement risk warnings
Chapter: Pensions – supplementary provisions
Effective Date: 26th February 2015