The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments. COBS rules cover client categorisation.
Client categorisation is based on the client's level of sophistication. This classification determines the degree of regulatory protection the client is entitled to and the types of investment products they can be offered.
Our COBS for Client Categorisation Course explains the FCA Conduct of Business Rules for client categorisation in the investment business.
Available as part of our FCA Compliance Library.
This course will prepare you to:
- Elective professionals
- Exercise: Elective professionals
Approximately 20 minutes followed by a 10-question assessment.
Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.
SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via client style sheet.
Ability to offer optional test-out, whereby users can choose to skip the course content and complete the learning assignment by simply passing the assessment
All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.
Fully customisable on Skillcast Portal CMS.
Pre-translated versions not available, but all text content can be exported for translation into all languages.
Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.