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Digital Media and 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 effect of rule breaches – punishments in FSMA for breaching the rules

2: The Rulebook

The Principles PRIN 2
What do the conduct of business rules apply to?
Clear, fair and not misleading in the conduct of business sourcebooks
Risk disclosure, prominence & font-size rule
Rule against unfair comparisons
Rules and guidance on specified expressions
Making promotions identifiable as such
Giving the name of the firm
Naming the regulator and compensation scheme
Past, simulated and future performance

3. Mainstream issues in Digital media and promotions

Social media
Pay-per-click and other sponsored links
Unsolicited e-mail
Disclosing how to complain
Identifying incoming complaints

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.