FCA Compliance - 3 Critical Areas on the UK COBS Rules

Introduction

Are you confident in your understanding of UK COBS rules?

Stay ahead of the curve and ensure your firm's compliance with this concise and informative short webinar.

The webinar covers three critical areas:

• Appropriateness: Demystifying the requirements for assessing client knowledge and experience in execution-only transactions. How to effectively gauge client understanding and document your findings.
• Client Communications (with a spotlight on High-Risk Investments): Navigating the complexities of communicating clearly and fairly with clients. The webinar will delve into the heightened requirements for high-risk investments, ensuring you target the right audience and provide necessary disclosures.
• Dealing and Managing: Understanding your obligations regarding best execution, conflict of interest management, and client order handling. The webinar will explore practical examples and best practices to ensure compliance.

It is suitable for financial advisors and investment and wealth managers, as well as team leaders and managers across all sectors of investment services. Compliance, risk, and audit professionals should also understand these requirements.

What You Will Learn

This short webinar will cover the following:

• COBS overview and the importance to regulated firms
• Appropriateness - what you need to do and demonstrate; compare and contrast with Suitability requirements (knowledge; experience; do we ‘sell’ or ‘allow to buy’?)
• Client communications - clear, fair, and not misleading
• High risk investment communications - specific disclosures; target markets; examples of compliant and non-compliant promotions
• Dealing and managing - best execution; client order handling, conflicts of interest, record keeping

This pre-recorded webinar will be available to view from Friday 22nd August 2025

Alternatively, you can gain access to this webinar and 1,700+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.