Financial Promotions

Financial promotions are an inherent part of bringing the financial product and the client together to transact business. As such, it is subject to regulation by the FCA.

Programme:
• Impact of principle-based regulation.
• Communications to clients: COB chapter 4.
• Approving financial promotions.
• Invitations and inducements.
• Internet and electric media.
• Compliance oversight and risk management.
• Examples of good and bad practice.

Learning outcomes:
• Examine the implications of principle-based regulations.
• Update your knowledge of COB financial promotions rules.
• Recognise the key differences between financial promotions and other communications.
• Check the effectiveness of your approvals process.
• Understand the implications for the internet and other electronic media.

Who should attend?
Those involved in marketing, product development or compliance, involving the formulation, approval or use of financial promotions, this course is designed to inform you and challenge your current approach.

CPD hours:
Attendance of this course awards up to 3 CPD hours where you consider it relevant to your professional development needs.


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