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Communicating with clients, including financial promotions (COBS 4)

Reference CodeTitle
COBS 4.1


COBS 4.2

Fair, clear and not misleading communications

COBS 4.3

Financial promotions to be identifiable as such

COBS 4.4

Compensation information

COBS 4.5

Communicating with retail clients

COBS 4.6

Past, simulated past and future performance

COBS 4.7

Direct offer financial promotions

COBS 4.8

Cold calls and other promotions that are not in writing

COBS 4.9

Financial promotions with an overseas element

COBS 4.10

Systems and controls and approving and communicating financial promotions

COBS 4.11

Record keeping: financial promotion

COBS 4.12

Restrictions on the promotion of non-mainstream pooled investments1

COBS 4.13