10 Dec 2019, London
9:30am to 4:30pm
The rules, guidance and ‘standards’ for the financial promotion of investment products 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 SYNDICATE EXERCISES, 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 approving 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 workshop uses a combination of trainer input, knowledge sharing with interactive syndicate work and case studies. Group size is kept to a maximum of 16 to facilitate sharing of experience amongst the delegates.
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 investment-related 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.
|Regulation and financial promotions||To consider the impact of regulatory developments, with particular relevance to financial promotions and the “fair, clear, and not misleading” requirement||
|COBS chapter 4: Communications to clients, including financial promotions||To understand the key (investment) conduct of business rules that apply to financial promotions and MiFID marketing communications||
|Hot topics for the FCA||To understand the implications of recent direct communications made to firms in the investment sector and the FCA's reaction to the responses received||
|Approving financial promotions||To undertake a practical review of a financial promotion||
|Invitations, inducements and related problem areas||To consider the extent to which certain types of communication may or may not constitute financial promotions||
|Electronic media||To consider how the financial promotions regime applies to the internet and social media||
|Compliance oversight and risk management||To examine the role of Compliance, Risk and Marketing teams in financial promotions||
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.