COBS 12.1.3 Additional Information for Investment Business

The additional information required under Rule 12.1.1(b) for Investment Business is:

(a) the arrangements for giving instructions to the Authorised Person and acknowledging those instructions;
(b) information about any agreed investment parameters;
(c) the arrangements for notifying the Client of any Transaction Executed on his behalf;
(d) if the Authorised Person may act as principal in a Transaction, when it will do so;
(e) the frequency of any periodic statements and whether those statements will include some measure of performance, and if so, what the basis of that measurement will be;
(f) when the obligation to provide best execution can be and is to be waived, a statement that the Authorised Person does not owe a duty of best execution or the circumstances in which it does not owe such a duty; and
(g) where applicable, the basis on which assets comprised in the portfolio are to be valued.