Course description
The FCA have been busy implementing new standards expected from firms in relation to their financial promotions.
Sector specific rules have been brought in for investment management and cryptocurrencies as well as updated requirements for credit brokers.
Presented by expert speaker Robert Bell, this full day course will make sense of the new landscape, helping you to understand the myriad of requirements and plot your route to compliance. Examples will be given as to what constitutes good, adequate, or poor compliance. The course is suitable for financial services professionals with responsibility for creating or reviewing financial promotions in relation to regulated products.
Upcoming start dates
Outcome / Qualification etc.
Training Course Content
Introduction
The FCA have been busy implementing new standards expected from firms in relation to their financial promotions.
Sector specific rules have been brought in for investment management and cryptocurrencies as well as updated requirements for credit brokers.
Additionally, the FCA have moved to regulate those organisations approving financial promotions.
Clearly an area of significant change it has also been affected by the Consumer Duty, specifically the consumer understanding outcome.
This new full day course will make sense of the new landscape, helping you to understand the myriad of requirements and plot your route to compliance.
Examples will be given as to what constitutes good, adequate, or poor compliance supported by a range of examples.
The course is suitable for financial services professionals with responsibility for creating or reviewing financial promotions in relation to regulated products.
What You Will Learn
This course will cover the following:
- Rules/guidance:
- Financial Promotion Order 2005
- Meaning of financial promotion
- PERG 8, COBS 4, CONC 3, ICOBS 2 and 3, MCOB 3A, BCOBS 2,2A and 3, CMCOB 3
- Latest developments:
- Approving financial promotions
- FCA powers to ban a promotion or advert
- Consumer duty requirements
- Exemptions for high-net-worth investors
- Case studies
Expenses
MBL Seminars Limited
MBL is a leading learning and development provider for professional service firms. Over the past 18 years, more than 198,000 people across 23,000 different organisations spanning 81 countries, have chosen us to deliver their training. With over 800 expert speakers...