16 Nov 2017, London
9:30am to 4:30pm
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:
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.
This workshop uses a combination of trainer input, knowledge sharing with interactive syndicate work and case studies. Group size is limited to maximise learning and facilitate sharing of experience among 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 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 and is now working on the second edition.
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.