Financial Promotions - What the FCA Expects

Introduction

As a regulated firm, now as much as ever, you need to make sure that all financial promotions created by your firm are fully compliant.

Ensuring that a firm has an appropriate financial promotions policy and process aligned to its specific business model is an important part of a firm’s compliance quality framework.

The FCA has, once again, recently highlighted their concerns regarding financial promotions and stated that enforcement action will be taken when required.

This new virtual classroom seminar will help you to ensure that your firm is fully alerted to the FCA’s focus on compliance and good practice.

It is suitable for the marketing teams of FCA authorised firms, as well as the senior managers, in-house compliance functions, internal audit, managers, and supervisors.

What You Will Learn

This live and interactive session will cover the following:

• The definition of a financial promotion
• Familiar types of financial promotion
• Image advertising
• Making reference to the FCA
• FCA supervision and enforcement
• Exemptions
• Specific guidance for websites and social media
• Client testimonials
• Other regulators
• The financial promotions sign off process
• Recent developments including the FCA's latest guidance

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.