The Training Environment For Financial Services

Financial Promotion for Banks and Building Societies

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Outline & Objectives

When marketing their products, Retail Banks and Building Societies in the UK need to ensure compliance not only with FCA Principles for Business and SYSC but also several different sourcebooks (BCOBS, MCOBS, ICOBS), regulatory guidance and various industry and general advertising codes of conduct  as well.. While the FCA is intent on driving its good conduct agenda, the regulator wants firms to move away from a checklist approach towards a more general understanding of the need to make communications clear, fair and not misleading
Making extensive use of CASE STUDIES and SYNDICATE EXERCISES, this practical workshop will equip Marketing and Compliance professionals in Building Societies and retail banking firms with an understanding of how the FCA rules work in relation to financial promotions and the impact on financial advertising and customer communication.

Specifically, attending will help you:

  • Review the impact of regulatory developments and priorities on financial promotions
  • Update and refresh your knowledge of the relevant conduct of business requirements
  • Examine the application of the rules in key and high risk areas
  • Recognise the differences and similarities between promotions and other communications
  • Check the effectiveness of your procedures
  • Understand how the rules impact the internet and digital media
  • Consider how you can evidence your promotions present fairly what you are offering

Who will benefit?

If you have responsibility for creating or approving advertisements and other customer communications in a Building Society or Retail Bank, this workshop will help you understand and comply with regulatory expectations. Firms gain real business benefits from sending people from their Compliance and Marketing areas.

Training Approach

This workshop uses a combination of trainer input, knowledge sharing with interactive syndicate work and case studies.

Course Agenda

Topics covered may include but are not limited to:

  • Regulatory Background
  • General Requirements
  • Mortgages
  • Savings
  • Insurance
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