Ensuring Compliance with Financial Promotions - Live at Your Desk
The FCA have warned that they have seen evidence of firms abusing exemptions to the financial promotion regime, and that they will take enforcement action to protect consumers.
This new virtual classroom seminar will explore the key elements of the financial promotion regime, with particular emphasis on the available exemptions, and update participants on the latest developments in this area.
It is suitable for compliance personnel, in-house counsel and regulatory lawyers.
What You Will Learn
This live and interactive session will cover the following:
- Rules and Guidance
- Financial Services and Markets Act 2000
- Financial Promotion Order 2005
- FCA Handbook Perimeter Guidance Manual
- Key concepts including the meaning of ‘financial promotion’
- Communications which are ‘solicited/non-solicited’ and ‘real time/non-real time’
- Types of communication that can be financial promotions e.g. tweets
- High net worth retail investors
- Sophisticated retail investors
- Latest Developments
- FCA Call for Input: The Consumer Investments Market, September 2020
- Treasury Consultation on the Regulatory Framework for Approval of Financial Promotions, July 2020
- FCA Discussion Paper: Strengthening our financial promotion rules for high-risk investments and firms approving financial promotions, April 2021
- FCA Consultation Paper: A New Consumer Duty, May 2021
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.