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Financial promotions – Investments and pensions

2 half-days with case study examples – this course can be adapted to different types of business


1: Introduction

Rules, principles and ideas applicable to financial promotions

Promotions beyond the FCA rules – Codes of Advertising Practice, law, good taste

What is a promotion and the extent to which it matters?

Non-promotional communications and image adverts

Some exemptions from parts of the rulebook in the Financial Promotions Order

The FCA Principles

The effect of rule breaches – punishments in FSMA for breaching the rules


2: The Rulebook

What do the conduct of business rules apply to?

Clear, fair and not misleading in COBS 4 and the ASA Codes

Risk disclosure, prominence & font-size rule

Rule against unfair comparisons

Rules and guidance on specified expressions


Making promotions identifiable as such

Naming the firm, the regulator and the applicable compensation scheme

Past, simulated and future performance


3. Mainstream issues in Digital media and promotions

Social media

Pay-per-click and other sponsored links

Websites and disclosing how to complain

Unsolicited e-mail


4. Systems and controls

Sign-off procedures

Risk Management

The Compliance function

Approval of promotions for others (if relevant)

Get in touch

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

E-Mail: or

Mobile: 07900 248150

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