This annex forms part of COBS 16.3.1 R.
Periodic information (all cases) | ||
1. | the name of the firm; | |
2. | the name or other designation of the retail client's account; | |
3. | a statement of the contents and the valuation of the portfolio, including details of: | |
(a) | each designated investment held, its market value or fair value if market value is unavailable; | |
(b) | the cash balance at the beginning and at the end of the reporting period; and | |
(c) | the performance of the portfolio during the reporting period; | |
4. | the total amount of fees and charges incurred during the reporting period, itemising at least total management fees and total costs associated with execution, and including, where relevant, a statement that a more detailed breakdown will be provided on request; | |
5. | a comparison of performance during the period covered by the statement with the investment performance benchmark (if any) agreed between the firm and the client; | |
6. | the total amount of dividends, interest and other payments received during the reporting period in relation to the client's portfolio; and | |
7. | information about other corporate actions giving rights in relation to designated investments held in the portfolio. | |