Managing the Risks of Financial Promotions
Consumer confidence and protection are two of the main reasons why the financial services industry is regulated, so it is perhaps not surprising that this regulatory oversight extends to publicity about investment products.
It simply would be unsafe for service providers to produce vague, inaccurate or misleading marketing materials. Because of the risks attached to this, there are several restrictions on the making of financial promotions which must be understood. Non-compliance is an offence under the Financial Services and Markets Act 2000 and the consequences of getting it wrong can be severe.
This introductory level webinar is aimed at anyone who wants a better understanding of the need to understand financial promotions legislation.
What You Will Learn
This webinar will cover the following:
- What counts as a financial promotion?
- How can you demonstrate compliance with financial services legislation?
- What types of promotion can be made by an individual who is not authorised by the FCA
- The regulatory framework for financial services regulation
- Regulatory language explained
- The FCA's requirements about advertising and promotions
- Know how to avoid misleading customers
- Understand how an unauthorised person can make a financial promotion without breaking the law