The Training Environment For Financial Services

Digital Media and the FCA

13 Nov 2019, London

9:30am to 4:30pm

Outline & Objectives

The new and ever changing world of digital media offers tremendous opportunities - and significant risks - to financial services organisations, and something of a headache to regulators.

Specifically developed for Compliance, Legal and Marketing specialists in FCA regulated firms, this timely course will bring you up to date with the latest FCA regulations, guidance and approach to digital media and examine the implications for your marketing activities and compliance controls.

Attending will enable you to:

  • Analyse how Financial Promotion requirements apply to digital media
  • Review the FCA's approach to the supervision of 'new' and digital media, including the most recent developments and communications
  • Examine digital media risks, your organisation's risk appetite in this area and the MI and controls appropriate to managing and mitigating these risks
  • Consider digital media in the context of key regulatory themes and priorities, such as TCF, conduct risk, SYSC and aggregator and comparison websites
  • Benchmark your approach against industry best practice and regulatory expectations

Who will benefit?

This course will be of value to ComplianceLegal and Marketing specialists, as well as Senior Managers with oversight responsibility for Compliance, Marketing and Corporate Communications.

Training Approach

This course will use a combination of tutor input, discussion, examples and case studies to identify and address the practical digital media issues facing financial institutions. Class size will be limited to 16 to ensure a high quality learning environment.

Course Leader

Adam Samuel is a compliance specialist and lawyer who has spent much of the last 20 years checking and advising firms from major banks to small one-man firms on financial promotions. Qualified as a lawyer on both sides of the Atlantic and proud holder of an AFPC and CISI compliance diploma, Adam wrote the only major book on financial services complaint handling in 2005. His expert evidence on investment risk and compliance has been accepted by the English High Court and the Gibraltar Supreme Court.

Course Programme

Session Content
  • Recent regulatory developments, particularly regarding Financial Promotions
  • New FCA powers regarding Financial Promotions
  • What do we mean by 'digital media’?
  • What constitutes a Financial Promotion and does it matter?
FCA and Digital Media
  • FCA’s approach to 'new media', including social media
Digital Media Risks
  • Appetite for risk: regulated firms and the new regulator
  • Product development, Retail Conduct Risks and new media
Digital Media Best Practice
  • FCA Guidance
Comparison and Aggregator Sites
  • FCA approach and requirements
TCF and SYSC Requirements
  • Application in the digital media environment
  • Management information
  • Control and approval framework
Case Study
  • Practical examination of issues and challenges
  • Conclusions
  • Next steps
  • What the future may hold
  • Other digital media issues

This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.

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