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Financial Promotions

15 Nov 2018 09:30 - 16:30
Cordium UK offices
130 Jermyn Street, London, SW1Y 4UR
Training & Workshops, Compliance, Risk, Regulation
Audit, Tax & Accountancy, Banking, Clearing Houses, Outsourcing, Consumer Credit, Energy Market Participants, Gaming, General Insurance, Investor Relations, Legal, Life Assurance, Mortgage & Home Finance, Pensions, Securities & Investment, Wealth Management

If you would like to discuss your training requirements in more detail please contact Graham Dix on 020 7484 3987 or your usual Cordium consultant.

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The Regulator’s objectives include ensuring that firms operate in their client’s/customer’s best interest, including treating them fairly and communication with their clients in a clear, fair and not misleading way. Therefore, if you advertise your products and services in any way your firm is likely to be on the Regulator radar. This course is designed to explain, in a clear and practical way, what the rules are and what needs to be done to achieve and maintain compliance with them.

Course Objectives:

To provide delegates with

  • Describe the link between the FCA Statutory Objectives the “Fin Prom” Rules
  • Explain the main concepts in the FCA’s regulation of Financial Promotions
  • Apply the rules to any financial promotions you produce
  • Create and retain appropriate records
  • Benchmark your current arrangements

Key Topics:

  • How the FCA Objectives; High Level Principles and the obligations on Senior Management are indelibly linked
  • The focus on Systems & Controls
  • The “Competent Employee” Rule
  • The Approved Persons (APER) Regime
  • Impact on client take-on
  • The Suitability and Appropriateness Rules
  • Firms that got it wrong: Regulatory Enforcement
  • The difference between a good and a bad sales call
  • Record Keeping

Course aimed at: Senior Management, CF30s, Marketing, Sales and Compliance

This course can be delivered onsite or as an instructor lead course at a firm’s office.

If you would like to discuss your training requirements in more detail please contact Graham Dix on 020 7484 3987 or your usual Cordium consultant.

£349.00
6 Hours
Cordium - Education and Training
130 Jermyn Street, London, SW1Y 4UR, United Kingdom.

Email: Graham.Dix@Cordium.com
Tel: +44 (0) 20 7691 9722
Contact: Graham Dix. Manager Training Solutions