COBS - Client Communications and Financial Promotions
The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments. COBS rules cover client communications.
Client communications refer to any document that is likely to be read by a retail client. Included in this is all financial promotions that investment firms send to existing and prospective clients.
Our COBS for Client Communications Course explains the FCA Conduct of Business Rules for communicating with clients in the investment business.
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20 Minutes -
For all staff
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UK
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FCA Compliance Library
What you’ll learn in
this course
- Appreciate the need to be fair, clear and not misleading
- Recognise the rules for presenting investment performance
- Know the rules for cold calling and non-written promotions
- Understand the systems and control requirements
- Identify and apply the record-keeping requirements
Hear from our customers
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