Related provisions for COBS 18.2.3

1 - 1 of 1 items.

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

The provisions of COBS in the table do not apply in relation to any energy market activity or oil market activity 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
COBS 6.2B5 3	Describing advice services
4	4
6.4	Disclosure of charges, remuneration and commission
9.4	Suitability reports
9.6	Special rules for providing basic advice on a stakeholder product
5	5
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

The provisions of COBS in the table are unlikely to be relevant to any energy market activity or oil market activity carried on by a firm which is MiFID or equivalent third country business:

COBS	Description
5	Distance communications
7	Insurance mediation
13	Preparing product information
14.2	Providing product information to clients
15	Cancellation
17	Claims handling for long-term care insurance
18.1	Trustee firms' regime
18.3	Corporate finance business
18.4	Stock lending activity
19	Pensions - supplementary provisions
20	With-profits

1Only the COBS provisions in the table apply to energy market activity or oil market activity carried on by a firm which is not MiFID or equivalent third country business but which, if the firm were not authorised, would not be a regulated activity because of article 16 of the Regulated Activities Order (Dealing in contractually based investments) or article 22 of the Regulated Activities Order (Deals with or through authorised persons etc.).

COBS	Description
1	Application
2.4	Agent as client and reliance on others
4.12	Unregulated collective investment schemes
5.2	E-commerce

1 COBS applies as set out in the table to firms in respect of activities referred to in the general application rule related to:

(1)
commodity futures; or
(2)
commodity options; or
(3)
contracts for differences related to an underlying commodity; or
(4)
other futures or contracts for differences which are not related to commodities, financial instruments or cash;

Application of COBS to other non-MiFID business related to commodity derivative instruments
All of COBS applies, except COBS 18.2.6 R to COBS 18.2.9 E applies instead of COBS 11.2 (Best execution)