FCA suitability requirements for MiFID business and IBIPs (COBS 9A) | Practical Law

FCA suitability requirements for MiFID business and IBIPs (COBS 9A) | Practical Law

This note provides an overview of the FCA's requirements relating to suitability assessments carried out by firms providing investment advisory and discretionary portfolio management services in the course of carrying on MiFID business and firms providing investment advice relating to insurance-based investment products (IBIPs). The note focuses on the rules and guidance in chapter 9A of the FCA's Conduct of Business sourcebook (COBS 9A).

FCA suitability requirements for MiFID business and IBIPs (COBS 9A)

Practical Law UK Practice Note w-010-6122 (Approx. 28 pages)

FCA suitability requirements for MiFID business and IBIPs (COBS 9A)

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This note provides an overview of the FCA's requirements relating to suitability assessments carried out by firms providing investment advisory and discretionary portfolio management services in the course of carrying on MiFID business and firms providing investment advice relating to insurance-based investment products (IBIPs). The note focuses on the rules and guidance in chapter 9A of the FCA's Conduct of Business sourcebook (COBS 9A).