CP24/11: Quarterly consultation paper no 44

Details

Provisions it relates to

• MiFIR (whole act)
  Inferred · 70%
• MiFID II (whole act)
  Inferred · 70%

FCA Handbook

Handbook provisions the Handbook lists against this paper (only those linked to MiFID II or MiFIR material are shown).

• SYSC 1 Annex 1 Part 1
• SYSC 1 Annex 1 Part 2
• SYSC 1 Annex 1 Part 3
• SYSC 1 Annex 1 Table A Table A: Application of the common platform requirements in SYSC 4 to SYSC 10
• SYSC 1 Annex 1 Table B Table B: Application of the common platform requirements in SYSC 4 to 10 to MiFID optional exemption firms and third country firms
• SYSC 4.1.-2G Application to a common platform firm
• SYSC 4.1.-1G Application to a MiFID optional exemption firm and to a third country firm
• SYSC 4.1.1-AR General requirements
• SYSC 4.1.2R General requirements
• SYSC 4.1.8G Business continuity
• SYSC 4.3.2-AR
• SYSC 5.1.-2G Application to a common platform firm
• SYSC 5.1.-1G Application to an MiFID optional exemption firm and to a third country firm
• SYSC 5.1.1R Competent employees rule
• SYSC 5.1.5ABR Knowledge and competence
• SYSC 5.1.6R Segregation of functions
• SYSC 5.1.12R Awareness of procedures: common platform firm and management company
• SYSC 5.1.13R General
• SYSC 5.1.14R General
• SYSC 6.1.-2G Application to a common platform firm
• SYSC 6.1.-1G Application to an MiFID optional exemption firm and to a third country firm
• SYSC 6.1.2-AR Adequate policy and procedures
• SYSC 6.1.3-AR Compliance function
• SYSC 6.1.3-BR Compliance function
• SYSC 6.1.3-CR Compliance function
• SYSC 6.1.4-AB Compliance function
• SYSC 6.1.5AR Compliance function
• SYSC 6.2.1R
• SYSC 6.2.1BG
• SYSC 6.2.2G
• SYSC 7.1.-2G Application to a common platform firm
• SYSC 7.1.-1G Application to an MiFID optional exemption firm and to a third country firm
• SYSC 7.1.2-AR Risk assessment
• SYSC 7.1.3R Risk assessment
• SYSC 7.1.5R Risk management
• SYSC 7.1.6R Risk management
• SYSC 7.1.7R Risk assessment
• SYSC 7.1.8G Risk control: additional provisions
• SYSC 7.1.21R Additional rules for CRR firms
• SYSC 8.1.-2G Application to a common platform firm
• SYSC 8.1.-1G Application to an MiFID optional exemption firm and to a third country firm
• SYSC 8.1.3G General requirements
• SYSC 8.1.4R Scope of critical and important operational functions
• SYSC 8.1.4AR Scope of critical and important operational functions
• SYSC 8.1.5R Scope of critical and important operational functions
• SYSC 8.1.6R Outsourcing critical or important operational functions
• SYSC 8.1.6-AR Outsourcing critical or important operational functions
• SYSC 8.1.7R Outsourcing critical or important operational functions
• SYSC 8.1.8R Outsourcing critical or important operational functions
• SYSC 8.1.9R Outsourcing critical or important operational functions
• SYSC 8.1.10R Outsourcing critical or important operational functions
• SYSC 8.1.11-AR Outsourcing critical or important operational functions
• SYSC 8.1.11-BR Outsourcing critical or important operational functions
• SYSC 8.1.11-CG Outsourcing critical or important operational functions
• SYSC 8.1.12G Outsourcing critical or important operational functions
• SYSC 9.1.-2G Application to a common platform firm
• SYSC 9.1.-1G Application to an MiFID optional exemption firm and to a third country firm
• SYSC 9.1.1BR General requirements
• SYSC 9.1.2-AR
• SYSC 9.1.6G Guidance on record-keeping
• SYSC 10.1.-2G Application to a common platform firm
• SYSC 10.1.2G Requirements only apply if a service is provided
• SYSC 10.1.4R Types of conflicts
• SYSC 10.1.4AG Types of conflicts
• SYSC 10.1.5G Types of conflicts
• SYSC 10.1.6R Record of conflicts
• SYSC 10.1.6AG Record of conflicts
• SYSC 10.1.6AAR Record of conflicts
• SYSC 10.1.6BG Record of conflicts
• SYSC 10.1.8R Disclosure of conflicts
• SYSC 10.1.9AR Disclosure of conflicts
• SYSC 10.1.10R Conflicts policy
• SYSC 10.1.11R Contents of policy
• SYSC 10.1.11AG Contents of policy
• SYSC 10.1.11AAR Contents of policy
• SYSC 10.1.11ABR
• SYSC 10.1.12G Contents of policy
• SYSC 10A.1.10G Obligations for telephone and electronic communications
• SYSC 10A.1.12AR Notification
• SYSC 10A.1.15R Additional requirements on recording of telephone conversations or electronic communications
• SYSC 10A.1.16R Additional requirements on recording of telephone conversations or electronic communications
• SYSC 19F.1.4R Remuneration policies and practices
• SYSC 19F.1.5G Remuneration policies and practices
• SYSC 19G.5.3R Identifying material risk takers
• SYSC 24.3.10G Dividing and sharing management functions between different people
• SYSC Sch 1.2G
• SYSC Sch 2.1G
• SYSC Sch 5.4G
• TC 4.1.3R
• GEN 1.2.2AR
• GEN 1.2.4G
• GEN 2.2.22AR Onshored Regulations and third country firms
• GEN 2.2.29R MiFID technical standards
• GEN 2.2.35AG Guidance applying while a firm has temporary permission
• MIFIDPRU 7.1.3R
• MIFIDPRU 7.2A.1R
• COBS 1.1.-1G Introduction
• COBS 1.1.1R General application rule
• COBS 1.1.1AR Deposits (including structured deposits)
• COBS 1.1.1AER Structured deposits: further provisions
• COBS 1.1.1AFG Structured deposits: further provisions
• COBS 1.1.1CR Application to TP firms and Gibraltar-based firms
• COBS 1.1.1DG Application to TP firms and Gibraltar-based firms
• COBS 1.1.7R Actions for damages
• COBS 1.4.1G Purpose
• COBS 1.4.2G In good time
• COBS 1 Annex 1
• COBS 1 Annex 2
• COBS 2.2.-1R Application
• COBS 2.2A.1AG Application
• COBS 2.2A.6G Record-keeping
• COBS 2.2A.7R Record-keeping
• COBS 2.3A.13R Disclosure of payments or benefits received from, or paid to, third parties
• COBS 2.3A.19R Acceptable minor non-monetary benefits
• COBS 2.3A.33G Record keeping: inducements
• COBS 2.3A.34AR
• COBS 3.1.4R Mixed business
• COBS 3.3.1AR
• COBS 3.3.1BR
• COBS 3.6.4R Elective eligible counterparties
• COBS 3.6.4AR Elective eligible counterparties
• COBS 3.6.4BR Elective eligible counterparties
• COBS 3.7.3AR
• COBS 3.7.3BR
• COBS 4.1.4G
• COBS 4.1.7G
• COBS 4.2.2G The fair, clear and not misleading rule
• COBS 4.5A.3R General requirements
• COBS 4.5A.7R Comparative information
• COBS 4.5A.8R Referring to tax
• COBS 4.5A.9R Consistent financial promotions
• COBS 4.5A.10R Past performance
• COBS 4.5A.11G Past performance
• COBS 4.5A.12R Simulated past performance
• COBS 4.5A.14R Future performance
• COBS 4.5A.15G Future performance
• COBS 4.5A.16R Information that uses the name of the FCA or PRA
• COBS 4.7.-2R
• COBS 4.7.-1G Application
• COBS 4.7.-1AR Direct offer financial promotions relating to MiFID, equivalent third country or optional exemption business
• COBS 4.7.1R Other direct offer financial promotions
• COBS 4.11A.1R
• COBS 4.11A.2G
• COBS 4.11A.3R
• COBS 4.12B.1R Application
• COBS 6.1ZA.2AG Application
• COBS 6.1ZA.2BR Application to insurance distribution activities
• COBS 6.1ZA.2CG Application to insurance distribution activities
• COBS 6.1ZA.5R Information about a firm and its services: MiFID business
• COBS 6.1ZA.8R Information about a firm’s portfolio management service: MiFID business
• COBS 6.1ZA.9R Information concerning safeguarding of designated investments belonging to clients and client money: MiFID business
• COBS 6.1ZA.10AR Information concerning safeguarding of client money: insurance distribution
• COBS 6.1ZA.17R Timing of disclosure: MiFID business
• COBS 6.1ZA.19R Medium of disclosure: MiFID business
• COBS 6.1ZA.20R Keeping the client up to date: MiFID business
• COBS 6.1ZA.21G Existing clients: MiFID business
• COBS 6.1ZA.24G Record keeping: information about the firm and compensation information for MiFID business and insurance distribution
• COBS 6.1ZA.25R Record keeping: information about the firm and compensation information for MiFID business and insurance distribution
• COBS 6.2B.4AG Application
• COBS 6.2B.5G Introduction
• COBS 6.2B.7R Interpretation of the relevant rules: MiFID business
• COBS 6.2B.8G Interpretation of the relevant rules: MiFID business
• COBS 6.2B.9R Interpretation of the relevant rules: non-MiFID business
• COBS 6.2B.14G Requirements for firms providing focused independent advice
• COBS 6.2B.15R Requirements for firms providing focused independent advice
• COBS 6.2B.16G Requirements for firms providing focused independent advice
• COBS 6.2B.17G Sufficient range
• COBS 6.2B.18R Sufficient range
• COBS 6.2B.19G Sufficient range
• COBS 6.2B.22G Guidance on the independence standard
• COBS 6.2B.29R Requirements for firms providing both independent and restricted advice
• COBS 6.2B.32R Requirements for firms providing both independent and restricted advice
• COBS 6.2B.35R Disclosing the nature of advice provided
• COBS 6.2B.36R Disclosing the nature of advice provided
• COBS 6.2B.40AG Record keeping
• COBS 6.2B.40BR Record keeping
• COBS 6 Annex 7
• COBS 8A.1.3G Application and purpose provisions
• COBS 8A.1.3AG Application and purpose provisions
• COBS 8A.1.4R Providing a client agreement: retail and professional clients
• COBS 8A.1.5R General requirement for information to clients
• COBS 8A.1.7R General requirement for information to clients
• COBS 8A.1.8G Avoiding duplicate information
• COBS 8A.1.10R Record keeping: client agreements
• COBS 9A.1.5R Application to investment advice in relation to insurance-based investment products
• COBS 9A.1.6G Application to investment advice in relation to insurance-based investment products
• COBS 9A.2.2G
• COBS 9A.2.3G
• COBS 9A.2.4R Assessing the extent of the information required: MiFID business
• COBS 9A.2.5R Professional clients: MiFID business
• COBS 9A.2.6R Obtaining information about knowledge and experience: MiFID business
• COBS 9A.2.7R Obtaining information about a client’s financial situation: MiFID business
• COBS 9A.2.8R Obtaining information about a client’s investment objectives: MiFID business
• COBS 9A.2.9R Reliability of information: MiFID business
• COBS 9A.2.10R Maintaining adequate and up-to-date information: MiFID business
• COBS 9A.2.11R Discouraging the provision of information: MiFID business
• COBS 9A.2.12R Reliance on information: MiFID business
• COBS 9A.2.13R Insufficient information: MiFID business
• COBS 9A.2.15R Identifying the subject of a suitability assessment: MiFID business
• COBS 9A.2.18R Switching: MiFID business
• COBS 9A.2.19R Adequate policies and procedures: MiFID business
• COBS 9A.2.20R Unsuitability: MiFID business
• COBS 9A.2.21G Guidance on assessing suitability: MiFID business and insurance-based investment products
• COBS 9A.2.23R Automated or semi-automated systems: MiFID business
• COBS 9A.3.1R Explaining the reasons for assessing suitability: MiFID business
• COBS 9A.3.3R Providing a suitability report: MiFID business
• COBS 9A.3.5G Guidance on suitability reports
• COBS 9A.3.5AG Guidance on suitability reports
• COBS 9A.3.8R Periodic assessments: MiFID business
• COBS 9A.3.9R Periodic assessments: MiFID business
• COBS 9A.4.2AR Record keeping: MiFID business
• COBS 10.1.2R
• COBS 10A.1.5R Application to services in relation to insurance-based investment products
• COBS 10A.1.6G Application to services in relation to insurance-based investment products
• COBS 10A.2.3R Assessing a client’s knowledge and experience: MiFID business
• COBS 10A.2.4R Information regarding a client’s knowledge and experience: MiFID business
• COBS 10A.2.5R Discouraging the provision of information: MiFID business
• COBS 10A.2.6R Reliance on information: MiFID business
• COBS 10A.2.8G Knowledge and experience: MiFID business and insurance-based investment products
• COBS 10A.2.9G Knowledge and experience: MiFID business and insurance-based investment products
• COBS 10A.4.2R Other non-complex financial instruments
• COBS 10A.7.2R Record keeping: MiFID business
• COBS 11.1.2AG General application
• COBS 11.1.4R Application of section on personal account dealing
• COBS 11.2A.1R
• COBS 11.2A.4G Application of best execution obligation
• COBS 11.2A.6G Application of best execution obligation
• COBS 11.2A.7G Application of best execution obligation
• COBS 11.2A.8R Best execution criteria
• COBS 11.2A.10G Role of price
• COBS 11.2A.11G Role of price
• COBS 11.2A.13G Following specific instructions from a client
• COBS 11.2A.14G Following specific instructions from a client
• COBS 11.2A.25R Execution policies
• COBS 11.2A.26G Execution policies
• COBS 11.2A.27G Execution policies
• COBS 11.2A.29G Execution policies
• COBS 11.2A.30G Execution policies
• COBS 11.2A.33G Execution policies
• COBS 11.2A.34R Duty of portfolio managers, receivers and transmitters to act in client’s best interest
• COBS 11.2A.35G Duty of portfolio managers, receivers and transmitters to act in client’s best interest
• COBS 11.2A.36G Duty of portfolio managers, receivers and transmitters to act in client’s best interest
• COBS 11.3.1AR General principles
• COBS 11.3.2AR Carrying out client orders
• COBS 11.3.3G Carrying out client orders
• COBS 11.3.4AR Settlement of executed orders
• COBS 11.3.5AR Use of information relating to pending client orders
• COBS 11.3.6G Use of information relating to pending client orders
• COBS 11.3.7AR Aggregation and allocation of orders
• COBS 11.3.7BR Aggregation and allocation of orders
• COBS 11.3.8AR Partial execution of aggregated client orders
• COBS 11.3.9AR Aggregation and allocation of transactions for own account
• COBS 11.3.10AR Aggregation and allocation of transactions for own account
• COBS 11.3.11AR Aggregation and allocation of transactions for own account
• COBS 11.3.12G Aggregation and allocation of transactions for own account
• COBS 11.3.14G Transposition of client order handling provisions in the UCITS Implementing Directive
• COBS 11.3.15R Transposition of client order handling provisions in the UCITS Implementing Directive
• COBS 11.4.3AR How client limit orders may be made public
• COBS 11.5A.1R
• COBS 11.5A.2R Recording initial orders received from clients
• COBS 11.5A.3R Record keeping in relation to transactions and order processing
• COBS 11.5A.4R Minimum details to be recorded in relation to client orders and decisions to deal
• COBS 11.5A.5R Minimum details to be recorded in relation to transactions and order processing
• COBS 11.7.2R Rule on personal account dealing
• COBS 11.7A.2R Application
• COBS 11.7A.5R Requirements relating to personal transactions
• COBS 11.7A.6R Requirements relating to personal transactions
• COBS 11A.1.1R General application
• COBS 11A.1.2R Requirements to provide specific information to issuer clients
• COBS 11A.1.3R Requirements to identify underwriting and placing operations and to ensure that adequate controls are in place to manage conflicts of interest
• COBS 11A.1.4R Additional requirements: pricings of offerings in relation to the issuance of financial instruments
• COBS 11A.1.5R Further requirements concerning the provision of information
• COBS 11A.1.6R Further requirements concerning the provision of information
• COBS 11A.1.7R Further requirements concerning the provision of information
• COBS 11A.1.8R Further requirements in relation to lending on provision of credit in the context of underwriting or placement
• COBS 11A.1.9R Record keeping requirements in relation to underwriting or placing
• COBS 12.2.14R Application
• COBS 12.2.14AG Application
• COBS 12.2.18R Non-independent research - identification
• COBS 12.2.18AR Non-independent research – conflicts of interest
• COBS 12.2.18BG Non-independent research – conflicts of interest
• COBS 12.2.19R Investment research – conflicts of interest
• COBS 12.2.19AG Investment research – conflicts of interest
• COBS 12.2.21R Measures and arrangements required for investment research
• COBS 12.2.21BG
• COBS 12.2.21CG
• COBS 12.2.25R
• COBS 13.2.1G
• COBS 13.4.5G Exceptions
• COBS 13.5.2BG Projections: other situations
• COBS 13.5.3R Exceptions to the projection rules: projections for more than one product
• COBS 13.5.4G Exceptions to the projection rules: projections for more than one product
• COBS 14.3.1R Application
• COBS 14.3.1AG
• COBS 14.3A.1AG Application
• COBS 14.3A.5R Providing a description of the nature and risks of financial instruments
• COBS 14.3A.5AR Providing a description of the nature and risks of financial instruments
• COBS 14.3A.5BR Providing a description of the nature and risks of financial instruments
• COBS 14.3A.5CR Providing a description of the nature and risks of financial instruments
• COBS 14.3A.6G Satisfying the provision rules
• COBS 14.3A.7R Timing of disclosure
• COBS 14.3A.9R Medium of disclosure
• COBS 14.3A.10R Keeping the client up-to-date
• COBS 14.3A.12G Record keeping
• COBS 14.3A.13R Record keeping
• COBS 14 Annex 1
• COBS 16A.1.4R Application to activities in relation to insurance-based investment products
• COBS 16A.1.5G Application to activities in relation to insurance-based investment products
• COBS 16A.2.3G
• COBS 16A.2.4R
• COBS 16A.3.1R Execution of orders other than when undertaking portfolio management
• COBS 16A.4.1R Provision by a firm and contents: MiFID business
• COBS 16A.4.2G Provision by a firm and contents: MiFID business
• COBS 16A.4.4G Guidance on contingent liability transactions
• COBS 16A.5.1R
• COBS 18.8A.2R Interpretation and general modifications
• COBS 18.8A.15R Modification of best execution rules
• COBS 18.8A.16R Client order handling
• COBS Sch 1.1G
• COBS Sch 1.2AG
• COBS Sch 1.3G
• COBS Sch 5.2G
• COBS Sch 5.4G
• BCOBS 1 Annex 1 Application of BCOBS to firms selling structured deposits
• CASS 3.2.4G Application
• CASS 7.13.14AR Client bank accounts
• CASS 9.4.2AR
• CASS 9.4.2BR
• CASS 9.4.4G
• CASS 9.5.2G
• CASS 9.5.4AR
• CASS 9.5.4CG
• CASS 9.5.9G
• MAR 1 Annex 3R
• MAR 5.6.1R
• MAR 5.6.1AR
• MAR 5.6.4G
• MAR 5.6A.1R
• MAR 5.6A.2R
• MAR 5.10.2AR Registering an MTF as an SME growth market
• MAR 5.10.2AAG Registering an MTF as an SME growth market
• MAR 5.10.2BR Registering an MTF as an SME growth market
• MAR 5.10.2CG Registering an MTF as an SME growth market
• MAR 5A.8.1R
• MAR 5A.8.1AR
• MAR 5A.8.2G
• MAR 5A.9.1R
• MAR 5A.9.2R
• MAR TP 3A
• SUP 6.4.22G When will the relevant regulator grant an application for cancellation of permission?
• SUP 6 Annex 4.2AG
• SUP 10C.6.1R Compliance oversight function (SMF16)
• DEPP 6.2.5G Action against individuals under section 66 of the Act
• DISP 1.1A.3G Application: Who? What?
• DISP 1.1A.6R Application: Who? What?
• DISP 1.1A.7R Application: Where?
• DISP 1.1A.10R Consumer awareness
• DISP 1.1A.12R Complaints handling
• DISP 1.1A.13R Complaints handling
• DISP 1.1A.16R Complaints handling
• DISP 1.1A.17R Complaints handling
• DISP 1.1A.18R Complaints handling
• DISP 1.1A.19G Complaints handling
• DISP 1.1A.23R Complaints resolved by close of the third business day
• DISP 1.1A.24R Complaints resolved by close of the third business day
• DISP 1.1A.25R Complaints resolved by close of the third business day
• DISP 1.1A.26R Complaints resolved by close of the third business day
• DISP 1.1A.27G Complaints resolved by close of the third business day
• DISP 1.1A.29R Complaints time limits
• DISP 1.1A.30R Complaints time limits
• DISP 1.1A.31R Complaints time limits
• DISP 1.1A.32G Complaints time limits
• DISP 1.1A.37R Complaints records
• DISP 1.1A.38R Complaints records
• DISP 1.1A.41G Complaints data publication
• DISP 1 Annex 2
• DISP 2.3.1AR Activities by firms
• DISP 2.3.1BG Activities by firms
• DISP 2.3.1CG Activities by firms
• DISP Sch 1.2G
• PROF 2.1.16G Exempt regulated activities
• REC 2.6.6UK Suspension and removal of financial instrument from trading
• REC 2.6.6AUK Significant damage to investors’ interests or orderly functioning of financial markets
• REC 2.16A.1UK Schedule to the Recognition Requirements Regulations, Paragraph 9A-9H
• REC 2.16A.1DR Schedule to the Recognition Requirements Regulations, Paragraph 9A-9H
• REC 3.25.2R
• REC 3.25.3R
• REC 3.25.4G
• REC Sch 5.1G
• DTR 5.4.2R
• M2G 2.3.2G
• M2G 2.4.1G
• M2G 2.5.2G
• M2G 2.6.1G
• M2G 2.7.1G
• M2G 2 Annex 1

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