Financial Promotions

► Course Overview

This course provides an overview of the financial promotion’s regime, what steps to consider in their preparation and approval, and the FCA’s expectations in this area. It is designed to help firms to understand FCA’s clear, fair and not misleading principle and content requirements in this field.

It is designed to assist investor relations and marketing teams in dealing with financial promotions and understanding and staying up to date with their statutory and regulatory obligations in this complicated area.

The course includes examples of the latest enforcement actions and case studies that will be relevant to a wide variety of firms. The session looks at the conduct of business requirements in detail and policies and procedures used to manage financial promotions.

► Course Objectives

• A comprehensive understanding of what a financial promotion is
• An appreciation of the controls the regulator expects to see in place in this area
• An understanding of the approval obligations in this area and the responsibilities firms have to underlying investors and clients
• Examples of where it can go wrong and the challenges firms face
• Detailed knowledge of the client approval process and basic controls and record keeping responsibilities

► KEY TOPICS

• Financial promotions – an overview 
• Definition and the principle
• The financial promotion approval process
• Enforcement activity
• Common failings
• Websites
• Recent developments
• Financial promotions – record keeping requirements 

Course aimed at: All staff - specifically marketing and investor relations teams

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