1
Type Speaker CPD Hours Level
Webinar
& DVD
1.25 UpdateInformation
Accreditation Information
SRA Competency B

Introduction

The financial promotion regime affects a wide range of corporate activities and is underpinned by criminal penalties. Companies making financial promotions must either have them approved by a firm authorised by the FCA or make use of one of the available exemptions.

This webinar will look at the penalties for breaching the financial promotion rules, including the FCA’s response to errors made by BrewDog in crowdfunding materials, and is suitable for financial services lawyers, approved persons and compliance professionals in FS register firms and in-house counsel.

What You Will Learn

This webinar will cover the following:

  • Rules and guidance
    • Legislation and regulatory guidance underlying the financial promotion regime including section 21 Financial Services and Markets Act 2000, the Financial Promotion Order 2005 and the FCA Handbook Perimeter Guidance Manual
  • Scope - Key concepts including the meaning of ‘financial promotion’
    • Which communications qualify as ‘solicited/non-solicited’ and ‘real time/non-real time’
    • Types of communication that can be financial promotions e.g. tweets
  • Corporate activities
    • AGMs
    • Annual reports and accounts
    • Fundraisings
    • IPOs
    • Private company share sales
    • Takeovers
  • Overlap with other regulatory regimes
    • Crossover issues with the Market Abuse Regulation
    • The Takeover Code and the Listing Rules
    • The interaction between the financial promotion regime and prospectus rules which came into force in July 2018.

This pre-recorded webinar will be streamed at 12:30pm on Monday 22nd October 2018 and will remain available to view by delegates who have registered by then for 90 days.

New: Enjoy unlimited 24/7 access to over 642 webinars with an MBL Annual Webinar Subscription. Email webinarsubscription@mblseminars.com for details.

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Webinar/DVD | 22.10.2018

Individual Licence | 1hr


Financial Promotions - Key Exemptions Explained

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Oct
22
2018
1hr
Individual

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Webinar/DVD | 22.10.2018

Group Licence | 1hr


Financial Promotions - Key Exemptions Explained

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Webinar/DVD | DVD

Individual Licence | 1hr


Financial Promotions - Key Exemptions Explained

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DVD
1hr
Individual

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Webinar/DVD | DVD

Group Licence | 1hr


Financial Promotions - Key Exemptions Explained

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Ticket Information
Standard
Individual licence
£30
£60
£120
Group licence
£49.50
£99
£198
New: Enjoy unlimited 24/7 access to over 642 webinars with an MBL Annual Webinar Subscription. Email webinarsubscription@mblseminars.com for details.

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