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  1. Point in time
    2018-07-02

COBS 9A.1 Application and purpose

1Note: ESMA has also issued guidelines under article 16(3) of the ESMA Regulation on certain aspects of the MiFID suitability requirements. See https://www.esma.europa.eu/sites/default/files/library/2015/11/2012-387_en.pdf.

Application

COBS 9A.1.1R

This chapter applies to a firm which provides investment advice or portfolio management in the course of MiFID, equivalent third country or optional exemption business.

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

COBS 9A.1.2R

Provisions in this chapter marked “EU” apply in relation to MiFID optional exemption business as if they were rules.

COBS 9A.1.3G

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