Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2021-01-28.

periodic statement

a report which a firm is required to provide to a client 46 pursuant to:157

  1. (a) COBS 16.3 (Periodic reporting) where the firm is carrying on designated investment business other than MiFID, equivalent third country or optional exemption business;157
  2. (b) article 60(1) of the MiFID Org Regulation where the firm is carrying on MiFID business;157
  3. (c) GEN 2.2.22AR and COBS 16A.4.1UK178 where the firm is carrying on the equivalent business of a third country investment firm;157
  4. (d) COBS 16A.1.2R and COBS 16A.4.1UK178 where the firm is carrying on MiFID optional exemption business161.157

[Note: see COBS 16A.4.1UK178 where article 60(1) of the MiFID Org Regulation is reproduced]157