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Financial Promotion

This Financial Promotion course explains the Financial Conduct Authority (FCA) rules on financial promotions for investment business. These rules concern the way in which firms may market financial products and services to customers.

Geography Covered: UK | Duration: 30 minutes

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Summary

Financial promotion is broadly defined as any invitation or inducement to engage in investment activity. In the past, financial services firms would frequently use promotional methods that were unclear or misleading. The Financial Conduct Authority (FCA) sought to address this problem and other types of unfair treatment of investors, by requiring firms to comply with the rules on financial promotions from the Conduct of Business Sourcebook (COBS) and a number of principles contained in the Principles for Businesses Sourcebook (PRIN).

A financial promotion involves more than just advertisements and brochures. All types of communications with clients and potential clients, such as phone conversations and in-person meetings, may constitute financial promotions. Therefore, it is vital that any employee communicating with clients or potential clients understands the FCA rules and principles.

The topics covered in the course include:

  • Fair, clear and not misleading
  • Specific types of promotion
  • Compliance

  • Like with all our courses, the Financial Promotion training  training course was written by experts and powered by world-leading regulatory intelligence, which tracks more than 900 regulators and exchanges globally to ensure the course content is always up to date.

    All our training courses are driven by practical examples and interactive scenarios to ensure users truly understand and recognize the issues of most importance to your business and learn to instinctively act to support them.

    We employ instructional design techniques optimized for risk and compliance training, enabling your business to educate in a way that reduces risk and helps you build a culture of integrity and compliance.

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