The rules, guidance and ‘standards’ for the financial promotion of investment product (including pensions and insurance-based investments) continue to evolve. The FCA's new powers and more proactive approach to conduct risk, along with the impact of recent regulatory updates on issues and trends identified through routine monitoring, continue to set new challenges to firms offering investment products.
Making extensive use of CASE STUDIES and EXAMPLES, this practical course will help Marketing and Compliance professionals keep up to date with the evolving rules, guidance and standards in this critical area of business and regulatory risk.
Specifically, attending will help you:
If you have responsibility for creating or signing off advertisements and other communications relating to investment products, 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.
This course will be delivered via a real time slide sharing and live audio visual platform, accessible by desktop computer, laptop, tablet or smartphone. Class size will be limited to ensure a high quality and interactive learning experience.
Adam Samuel is a compliance specialist and lawyer who has spent much of the last 20 plus years checking and advising firms from major banks to small one-man firms on investment-related financial promotions. Qualified as a lawyer on both sides of the Atlantic and proud holder of an AFPC and the CISI Compliance and Investment Adviser Diplomas and Certificate in Advanced Financial Planning, 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.
Session | Aim | Content |
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Introduction |
Introduce the key rules that apply to promotions Define promotions for which a firm is responsible Look at advertising which may fall on either side of the line |
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COBS chapter 4 and the ASA Codes |
To understand the key (investment) conduct of business rules that apply to financial promotions and MiFID marketing communications To undertake practical reviews of a number of financial promotions |
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The effect of the consumer duty | To understand the impact of the consumer duty on the FCA's approach to communications |
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Digital and electronic media issues not already covered |
To consider how digital media affects promotions regulations To learn how to review websites To consider the implications of pay-per-click advertising |
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Compliance oversight and risk management | To examine the role of Compliance, Risk and Marketing teams in financial promotions |
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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.