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Financial Promotions publications

Financial Promotions

“LCF report lifts lid off FCA failings”, Compliance Monitor, 5 March 2021

“FCA enforcement in 2020 – an unhealthy sprinkling of normality”, Compliance Monitor, 09 February 2021

“FCA PS19/18 – Contracts for Differences “, Compliance Resource Network, 23 July 2019

“The LCF regulatory quagmire “, Compliance Monitor, 4 June 2019

“The FCA’s two Dear CEO letters on financial promotions and the LCF ghost “, Compliance Resource Network, 29 April 2019

“CFDs revisited – already!”, Compliance Monitor, 1 February 2019

“Keys from the Keydata fiasco”, Compliance Monitor, 3 December 2018

“CFDs – Europe tackles a product where consumers mostly lose out”, Compliance Monitor, 5 June 2018

“What MiFID II has done to the FCA rulebook”, Compliance Monitor, 10 April 2018

“Whatever became of financial promotions rules? “, Compliance Monitor, 10 March 2017

“The Supreme Court’s definition of a collective investment scheme – just what the FCA wanted”, Compliance Resource Network, 27 April 2016

“Compliance tip of the week: Keep within the financial promotions rules”, Money Marketing, Analysis, 12 June 2014

“Two pieces of Finalised Guidance on Financial Promotions”, Compliance Resource Network, 11 April 2012

“New media – new compliance”, Compliance Resource Network, 20 February 2012

“FSA’s guidance consultations on prominence in financial promotions”, Compliance Resource Network 20 July 2011

“‘Clear’, ‘fair’ and new media “, Compliance Monitor, December 2010/January 2011

“SRLV fines and prohibition orders — beware of money laundering and integrity issues involved in helping boiler rooms”-, Complinet, 17 December 2010

“Two more post-Fox Hayes tribunal decisions on approving financial promotions”, Complinet, 19 May 2010

“Key features and simplified prospectuses: the FSA issues a plain English guide”, Complinet, 6 May 2009

“The Aspray final notice: of financial promotions, complaints and ‘cooperation with the FSA’“, Complinet, 20 March 2009

“The FSA wins Fox Hayes in the Court of Appeal and creates a more rounded view of ‘what is a promotion’“, Complinet 19 February 2009

“Please describe the risks and asset mix of your fund accurately: Standard Life follows the AIG path”, Complinet 27 January 2009

“Fox Hayes tribunal decision and approving foreign promotions”, Complinet, 23 October 2007

“Principles-based Regulation, MiFID and the New Financial Promotion Rules”, Compliance Officer Bulletin, September 2007

“Promotions do not reflect what the product delivers”, Complinet, 12 April 2007

“Streamlining financial promotions under NEWCOB”, Compliance Monitor, December/January 2006/2007

“FSA clamps down on cost-saving insurance promotions”, Complinet, 19 January 2007

“Foresters Life fined for dire financial promotions”, Complinet, 29 August 2006

“Non-real time financial promotions – Part 2, Specific and Direct Offer Promotions, Past Performance and Trading Rules”, Compliance Officer Bulletin, May 2006

“Non-real time financial promotions – Part 1”, Compliance Officer Bulletin, April 2006

“The FSA’s fifth Financial Promotions Mortgage & General Insurance Bulletin”, Complinet, 6 April 2006

“FSA fires another financial promotions salvo – this time web sites”, Complinet, 28 February 2006

“Promotion battle”, Money Marketing, 2 February 2006

“The FSA Mortgage Promotions Bulletin: of APRs, risk warnings, equity release and logos”, Compliance Online, 14 December 2005

“VCTs and financial promotions: another FSA raspberry”, Compliance Online, 28 November 2005

“The FSA takes up the cudgels again against pension unlocking and dodgy advertising”, Compliance Online, 17 November 2005

“FSA’s Promotion Commotion”, Financial Adviser, 15 September 2005

“The FSA’s third bulletin on insurance promotions: ‘The large print giveth and the small print taketh away’ “, Compliance Online 6 September 2005

“Financial Promotions – the FSA bloodbath continues”, Compliance Online, 16 June 2005

“Contracts for differences and spread betting – the new FSA battleground “, Compliance Online, 1 June 2005

“The FSA blitz on financial promotions continues – Courtover fined £20,000”, Compliance Online, 12 May 2005

“Financial Promotions: the City Index Fine – ‘It’s going to be a long hot summer…”, Compliance Online 11 April 2005

“The FSA strikes at financial promotions and the tipsheet industry again”, Compliance Online 15

“Exeter Fund Managers – a victim of compliance”, Compliance Online, 11 March 2005

“The FSA gets tough on financial promotions”, Compliance Online, 10 March 2005

“Financial services advertising: times have changed”, Compliance Monitor, March 2005

“The FSA takes on the tip-sheets”, Compliance Online, 17 January 2005

“Too little too late: the saga of the David Aaron Final Notice”,

“Too little too late: the saga of the David Aaron Final Notice”, Compliance Online, 1 October 2004

Get in touch

Contact Adam by e-mail, phone or post at:

E-Mail: adamsamuel@aol.com or adamsamueltc@yahoo.com

Mobile: 07900 248150

The Attic, 117 Priory Road, London NW6 3NN.