15th March 2019 – Financial Promotions
Time: 9.30am to 12.30pm
Cost: £399 + VAT
Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR
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.
- 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
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 ACA consultant.