News & Publications
News & insights
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Investor protection: a quick guide to the Conduct of Business Sourcebook
Posted: 13/12/2023
The Financial Conduct Authority (FCA) Handbook contains the Conduct of Business Sourcebook (COBS) which sets out rules for the way firms regulated by the FCA conduct their business. These guidelines include rules both for the conduct of business with retail and professional clients and for the disclosure of information......>> -
Investor protection: a quick guide to PRIIPs
Posted: 05/12/2023
Packaged Retail and Insurance Based Investment Products (PRIIPs) is an EU regulation brought into force on 26 November 2015 which set out a requirement for the provision of Key Information Documents in relation to certain financial products. The intention of the regulation was to improve the information provided to retail customers......>>
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