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COBS - Client Communications and Financial Promotions

The Conduct of Business Sourcebook (COBS) applies to financial firms in the UK that deal with client investments. COBS rules cover client communications.

Client communications refer to any document that is likely to be read by a retail client. Included in this is all financial promotions that investment firms send to existing and prospective clients.

Our COBS for Client Communications Course explains the FCA Conduct of Business Rules for communicating with clients in the investment business.
Get started Course details
  • 20 Minutes
  • All staff
  • Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.

Learning objectives

  • Appreciate the need to be fair, clear and not misleading
  • Recognise the rules for presenting investment performance
  • Know the rules for cold calling and non-written promotions
  • Understand the systems and control requirements
  • Identify and apply the record-keeping requirements

    What can you expect your employees to learn?

Welcome

What is COBS - Client Communications?

What are client communications?

  • Exercise: What is a financial promotion?

Fair, clear & not misleading

Presenting investment performance

Calculating return

Direct offer financial promotions

Cold calling

Approving financial promotions

Systems & controls

Record keeping

Scenario: Financial promotion

Summary

Affirmation

Assessment

Does your company have…

Under 50 employees?

We recommend our CoreCompliance, our solution, perfect for smaller teams. Start your training immediately with pre-configured, ready-to-go courses.

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Over 50 employees?

We have a range of flexible pricing plans to suit your unique needs. Choose from off-the-shelf course libraries or a customised, bespoke approach to reach your compliance learning goals.

Explore plans

Your questions, answered

Common FAQs

Are the courses SCORM-compliant?

Yes. This means they can be delivered via the Skillcast Portal or any other SCORM-compliant Learning Management System.

What other tools are needed beyond training?

A comprehensive compliance solution often needs more than just training. Alongside e-learning, tools like declarations, surveys, and registers that track compliance tasks are usually essential. Skillcast provides full support to help you set up these additional tools.

Can users only view the courses assigned to them?

No. All users can view all the courses in your Portal. Additionally, some of these courses may be mandatory, requiring completion by the given deadline.