COBS - Client Communications Course

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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COBS Client Communications

About this Course

Available as part of our FCA Compliance Library.

Learning Objectives

This course will prepare you to:

  • 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

Course Outline

Welcome

What is COBS - Client Communications?

What are client communications?

- Exercise: What is financial promotion?

Fair, clear & not misleading

Presenting investment performance

Calculating return

Direct offer promotions

Cold calling

Systems & controls

Record keeping

Scenario: Financial promotion

Summary

Affirmation

Assessment

FCA Course Library

Our FCA Course library of over 60 training modules covers everything from high-level and conduct of business standards to thematic topics, including treating customers fairly.

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FCA Course Library

Course Specifications

 

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Structure

Approximately 20 minutes followed by a 10-question assessment.

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Audience

Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.

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Design

SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via client style sheet.

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Test-Out

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 

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Compatibility

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.

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Tailoring

Fully customisable on Skillcast Portal CMS.

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Translation

Pre-translated versions not available, but all text content can be exported for translation into all languages.

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Localisation

Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.