FCA COBS — Conduct of Business Sourcebook (UK Investment Conduct)

FCA COBS — Conduct of Business Sourcebook (UK Investment Conduct) — 100% of in-scope requirements covered.

4 requirements · 4 in scope (4 enforced). The 100% is weighted over the in-scope base.

FCA COBS: requirement → the KYE™ artefact that enforces it

Demo data

You learn: Which requirements KYE™ enforces at runtime and with which artefact. You can: Walk the requirements.

  1. client-best-interests-rule · enforced

    Client's best interests rule (COBS 2.1.1R): an AI-generated decision proceeds only under recorded named…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 36 governedui

  2. suitability-cobs9 · enforced

    Suitability (COBS 9 / 9A): the suitability basis is recorded as a mandate check before the action

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 12 purpose permission

  3. best-execution-cobs11 · enforced

    Best execution (COBS 11.2 / 11.2A): a trade recommendation proceeds only with a recorded mandate check and…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 25 edge governance

  4. recordkeeping-advice-orders · enforced

    Recordkeeping of advice & orders: replay-provable provenance of the basis on which an AI-assisted decision…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 13 resilience loop

How this widget is built
Demonstrates
KYE™ Compliance Mapping Rail™
Components
  • Framework requirement (clause)
  • Coverage status
  • KYE™ enforcement artefact (event, decision-record field, Evidence Pack™ entry)
Flow
Clause → status → the KYE™ artefact that enforces it, enforced requirements first. Architecture diagram
Used on

Source: The FCA Conduct of Business Sourcebook (COBS) is part of the UK Financial Conduct Authority Handbook and governs the conduct of investment business with clients — the client's best interests rule (COBS 2.1.1R), suitability (COBS 9 / 9A), appropriateness (COBS 10 / 10A), and best execution (COBS 11.2 / 11.2A). KYE Protocol™ governs whether an AI-assisted investment decision/action is within mandate, authorised, evidenced, contestable, and final at the action boundary, and proves the basis. KYE™ does not produce investment intelligence, perform the suitability assessment, judge whether a recommendation is correct, or act as an investment adviser. · License: The FCA Handbook (COBS) is published by the UK Financial Conduct Authority under Crown copyright / Open Government Licence. KYE™ registry cites its conduct rules for mapping purposes only.

By category

CategoryReqsEnforcedDesignedAdvisoryDeferredCoverage
Client's best interests rule (COBS 2.1.1R)11000100%
Suitability (COBS 9 / 9A)11000100%
Best execution (COBS 11.2 / 11.2A)11000100%
Recordkeeping of advice & orders11000100%

Every requirement → the KYE™ artefact that enforces it

IDTitleStatusKYE™ enforcement
fca-cobs.client-best-interests-ruleClient's best interests rule (COBS 2.1.1R): an AI-generated decision proceeds only under recorded named authorityenforcedrule_packs: kye:rule-pack:investment-decision-authority
constitution_refs: constitution/36-GOVERNEDUI.md
fca-cobs.suitability-cobs9Suitability (COBS 9 / 9A): the suitability basis is recorded as a mandate check before the actionenforcedrule_packs: kye:rule-pack:investment-decision-authority
dictionaries: internal
constitution_refs: constitution/12-PURPOSE-PERMISSION.md
fca-cobs.best-execution-cobs11Best execution (COBS 11.2 / 11.2A): a trade recommendation proceeds only with a recorded mandate check and named authorityenforcedrule_packs: kye:rule-pack:investment-decision-authority
constitution_refs: constitution/25-EDGE-GOVERNANCE.md
fca-cobs.recordkeeping-advice-ordersRecordkeeping of advice & orders: replay-provable provenance of the basis on which an AI-assisted decision proceededenforcedrule_packs: kye:rule-pack:investment-decision-authority
dictionaries: internal
constitution_refs: constitution/13-RESILIENCE-LOOP.md

Canonical KYE™ surfaces referenced on this page: KYE Protocol™.