Related provisions for COBS 18.3.2

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COBS 12.2.9GRP
A financial analyst should not become involved in activities other than the preparation of investment research where such involvement is inconsistent with the maintenance of the financial analysts objectivity. The following should ordinarily be considered as inconsistent with the maintenance of a financial analyst's objectivity:(1) participating in investment banking activities such as corporate finance business and underwriting; or(2) participating in 'pitches' for new business
COBS 11.8.2RRP
This section does not apply to the carrying on of the following activities:(1) activities carried on between operators, or between operators and depositories, of the same collective investment scheme (when acting in that capacity);(2) corporate finance business;(3) corporate treasury functions.
COBS 18.3.1RRP

The provisions of COBS in the table do not apply in respect of any corporate finance business carried on by a firm which is MiFID or equivalent third country business:

COBS

Description

36.1A

Adviser charging and remuneration

36.1B

Retail investment product provider requirements relating to adviser charging and remuneration

36.2A

Describing advice services

6.3

Disclosing information about services, fees and commission - packaged products

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

211.8

Recording telephone conversations and electronic communications

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 18.3.4GRP
COBS 15 (Cancellation) is likely to be of limited application to corporate finance business. Distance contracts concluded with consumers in the course of corporate finance business will be exempt from COBS 15 if the price of the financial service is dependent on fluctuations in the financial market outside the firm's control.