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Financial Promotions Workshop

Overview

The Financial Conduct Authority (FCA) imposes significant requirements on authorised firms with respect to their communications with clients. As well as the over-arching requirement for communications to be fair, clear and not misleading, there are detailed rules governing those communications which are defined as Financial Promotions.

This course provides a comprehensive introduction to the regulatory obligations relating to Financial Promotions, in particular those relating to investment services covered by the Conduct of Business (COBS) rules. It considers the definition of a Financial Promotion and what it means for a promotion to be fair, clear and not misleading. It outlines the rules relating to Financial Promotions for retail clients, as well as the regulator’s expectations regarding use of social media and the need for systems and controls for the approval of promotions.

Who is this for?

This course is designed for those with responsibility for creating, reviewing and approving Financial Promotions and other communications within authorised firms. It will be most relevant to those working in firms providing investment services to retail clients, although much of the content will be applicable to firms in other sectors.

Learning Outcomes

After attending this workshop, participants will:

  • Explain the definition of a Financial Promotion
  • Identify a communication as a Financial Promotion, and the implications of issuing a Financial Promotion
  • Know the principal rules applying to Financial Promotions for retail clients
  • Identify how the Financial Promotion rules apply in the context of social media
  • Work to the FCA’s requirements regarding approval of Financial Promotions
  • Assess their firm’s systems and controls in line with the FCA's requirements

Course Details

  • A Word on Terminology – Key Definitions
  • The Regulatory Framework
  • Fair, Clear and Not Misleading
  • What Makes a Financial Promotion - ‘Invitation’ and ‘Inducement’
  • Defining the Recipients
  • Rules for Retail Clients
  • Social Media
  • Approval & Record-Keeping
  • When Things Go Wrong

Delivery

Have the flexibility to deliver your In-House training in-person by one of our trainers at your premises, or virtually via Zoom, Teams or Webex.

Find out more about your Virtual or In-Person training experience below.

Virtual Delivery

Our virtual training courses are designed to be every bit as engaging as our in-person courses. To achieve this, our trainers use market-leading technology and a range of training techniques to ensure high levels of interaction with participants. Courses include the use of:

  • Virtual ‘break-out’ rooms: participants are divided into virtual rooms to facilitate small group discussion.
  • Polling: multiple-choice questions, answered anonymously, allow the trainer to assess knowledge and understanding across the group.
  • Case studies: true to life case studies and scenarios are used to highlight the practical application of theoretical knowledge.
  • Messaging: participants can submit questions and comments, either to the whole group or privately to the trainer.

Additional Benefits:

  • Recording: public course participants have the option to access a recording of the course for one month after the course. In-House clients also have the option to record their training for an additional fee.

  • On-going Q&A: public course participants can access an ongoing Q&A facility allowing them to ask questions relating to the course.

 

In-Person Delivery

Our in-person training is delivered face to face at your offices, and includes:

  • ‘In-the-moment’ questions & discussions: questions through conversations allow the trainer to assess knowledge and understanding across the group.
  • Case studies: true to life case studies and scenarios are used to explore practical application of theoretical knowledge.
  • Q&A: participants can ask questions during training, either to the whole group or privately to the trainer.
Financial Promotions Workshop
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Duration
3 Hours
location
Delivery
In-House
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CCL Academy - UK

UK - Head Office

The Pantiles Chambers
85 High Street
Tunbridge Wells, TN1 1XP
United Kingdom
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Dubai
United Arab Emirates
Phone: +971 4 427 2151
Email: info@cclacademy.com

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