---
title: "FCA COBS — Conduct of Business Sourcebook (UK Investment Conduct) — KYE Protocol™ coverage"
description: "FCA COBS — Conduct of Business Sourcebook (UK Investment Conduct) coverage by KYE Protocol™ — every requirement bijection-mapped to the KYE™ artefact that enforces it."
url: https://kyeprotocol.com/compliance/fca-cobs/
lang: en
source: "KYE Protocol"
---

> FCA COBS — Conduct of Business Sourcebook (UK Investment Conduct) coverage by KYE Protocol™ — every requirement bijection-mapped to the KYE™ artefact that enforces it.

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.

**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

| Category | Reqs | Enforced | Designed | Advisory | Deferred | Coverage |
| --- | --- | --- | --- | --- | --- | --- |
| Client's best interests rule (COBS 2.1.1R) | 1 | 1 | 0 | 0 | 0 | **100%** |
| Suitability (COBS 9 / 9A) | 1 | 1 | 0 | 0 | 0 | **100%** |
| Best execution (COBS 11.2 / 11.2A) | 1 | 1 | 0 | 0 | 0 | **100%** |
| Recordkeeping of advice & orders | 1 | 1 | 0 | 0 | 0 | **100%** |

## Every requirement → the KYE™ artefact that enforces it

| ID | Title | Status | KYE™ enforcement |
| --- | --- | --- | --- |
| `fca-cobs.client-best-interests-rule` | Client's best interests rule (COBS 2.1.1R): an AI-generated decision proceeds only under recorded named authority | enforced | **rule\_packs**: `kye:rule-pack:investment-decision-authority` **constitution\_refs**: `constitution/36-GOVERNEDUI.md` |
| `fca-cobs.suitability-cobs9` | Suitability (COBS 9 / 9A): the suitability basis is recorded as a mandate check before the action | enforced | **rule\_packs**: `kye:rule-pack:investment-decision-authority` **dictionaries**: `internal` **constitution\_refs**: `constitution/12-PURPOSE-PERMISSION.md` |
| `fca-cobs.best-execution-cobs11` | Best execution (COBS 11.2 / 11.2A): a trade recommendation proceeds only with a recorded mandate check and named authority | enforced | **rule\_packs**: `kye:rule-pack:investment-decision-authority` **constitution\_refs**: `constitution/25-EDGE-GOVERNANCE.md` |
| `fca-cobs.recordkeeping-advice-orders` | Recordkeeping of advice & orders: replay-provable provenance of the basis on which an AI-assisted decision proceeded | enforced | **rule\_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™](https://kyeprotocol.com/).