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Conduct of Business Sourcebook Rules dealing with...? COBS empezar lección
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with the relationship between an authorised firm and its clients
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COBS applies to UK firms conducting __? Conduct of Business Sourcebook empezar lección
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Markets in Financial Instruments Directive.
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Following Brexit, the COBS Handbook no longer applies to MiFID business carried on from __? empezar lección
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an establishment in an EEA member state.
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The rules in COBS that are derived from MiFID apply to a Non-UK MiFID investment firm, that is... empezar lección
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a 'third- country firm' operating a branch.
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For which activities do COBS rules apply on a home state basis only? 2 empezar lección
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Investment research, | and personal account dealing So rules apply to UK firms regardless of where the business is conducted.
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Eligible Counterparty (ECP). A client that under the Markets in Financial Instruments Directive II (MiFID II) which is neither a __ nor a __. 2cz empezar lección
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which is neither a professional client | nor a retail client.
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Best Execution. Firms must obtain the best outcomes for a client taking into account not only price factors, but also such issues as costs, speed, __ of execution and settlement. empezar lección
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likelihood of execution and settlement.
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The activities which are subject to COBS: 3 empezar lección
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Designated investment business, | long-term insurance business, | accepting deposits.
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Specific types of activities are exempt from certain COBS rules. rules. E, g, for firms carrying on __? empezar lección
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on eligible counterparty business.
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A range of COBS rules are disapplied, in certain cases, for firms carrying on eligible counterparty business. These include: empezar lección
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Parts of COBS 11 -best execution, client order handling Parts of COBS 2 | Much of COBS 4 | COBS 6 | COBS 8A | COBS 10 | Parts of COBS 12 | COBS 16.
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COBS 6 deal with information on ____? Soome COBS rules are disapplied in certain cases. These include empezar lección
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Soome COBS rules are disapplied in certain cases. These include empezar lección
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Soome COBS rules are disapplied in certain cases. These include empezar lección
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reporting information to clients.
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The COBS rules apply to firms in relation to the relevant activities carried out for them by their ____? empezar lección
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Appointed Representatives Ars
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Appointed representatives are exempt, because their principal firms ...? empezar lección
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... have accepted responsibility for the regulated activities. Principal – an FCA-authorised firm, fully responsible for their regulated activities. | AR – an individual or a firm that carries out regulated activities on behalf of a Principal without having its own FCA authorisation.
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Firms must ensure that their appointed representatives comply with the COBS rules when they communicate ____? empezar lección
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he 2022 changes to the Appointed Representatives regime concerned ____? FCA Rules Regarding ARs empezar lección
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responsibilities of principals.
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Principals will be required to notify the FCA of a new AR appointment __ days before the appointment takes effect. empezar lección
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Withindays of the rules coming into force, Principals must provide information on ARs to the FCA. empezar lección
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Responsibilities of Principals. Enhanced oversight of the ARs, including: | adequate systems and controls, | sufficient resources, | and __? empezar lección
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Annual review on ARs' activities, principals must prepare a __? empezar lección
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self-assessment document.
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