Home FCA Handbook COBS COBS 18 COBS 18.4 Stock lending activity
You are viewing COBS 18.4 Stock lending activity as of . COBS 18.4 Stock lending activity was last updated on 01/10/2018.

COBS 18.4 Stock lending activity

03/01/2018R

The provisions of COBS in the table do not apply in relation to any stock lending activity carried on by a firm:

COBSSubject
6.1AAdviser charging and remuneration
6.1BRetail investment product provider requirements relating to adviser charging and remuneration
COBS 6.2BDescribing advice services
  
6.4Disclosure of charges, remuneration and commission
9.4Suitability reports
9.6Special rules for providing basic advice on a stakeholder product
  
COBS 16A.4.5Guidance on contingent liability transaction
16.5Quotations for surrender values
16.6Life insurance contracts - communications to clients
16 Annex 1 R (1) 14Information to be provided in accordance with COBS 16.2.1 R and 16.3
01/10/2018G

The provisions of COBS in the table are unlikely to be relevant in relation to any stock lending activity carried on by a firm:

COBSDescription
5Distance communications, except in relation to distance contracts concluded with consumers
7Insurance distribution
13Preparing product information
14.2Providing product information
15Cancellation, except cancellation and withdrawal rights in relation to distance contracts concluded with consumers
17Claims handling for long-term care insurance
18.1Trustee firms' regime
18.2Energy market activity and oil market activity
  
19Pensions - supplementary provisions
20With-profits