1
Type Speaker CPD Hours Level
Webinar
1.25 IntermediateInformation
Accreditation Information
SRA Competency D

Introduction

This new webinar will help you to understand the impact of Conduct of Business Rules (‘COBS’) as it applies to different types of investment business.

Examples will be given as to what constitutes good, adequate or poor compliance. The focus will be on COBS and not the specialist rules such as ICOBS.

What You Will Learn

This webinar will cover the following:

  • Introduction
    • What types of firm are required to comply? How do the obligations to comply vary depending on the types of business of the firm?
    • What are the different categories of ‘client’ affected by the rules and why does it make a difference?
    • How do the COBS interact with other rules?
  • The Rules
    • What activities are covered? What does COBS require in relation to those activities?
    • How the rules vary, depending on the type of business
  • Breach of the Rules
    • What are the consequences of breaching the rules? Is there a litigation risk?
  • Future of the COBS
    • How might COBS be impacted by Brexit?

This webinar was recorded on 21st April 2021

New: Enjoy unlimited 24/7 access to over 1126 webinars with an MBL Annual Webinar Subscription. Email webinarsubscription@mblseminars.com for details.

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Conduct of Business Rules (COBS) - What You Need to Know

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