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Please note that this course is now closed. Register for the next available date here.

Please contact us with any questions.

8th February 2019 – Financial Promotions

 

Time: 1.30pm to 4.30pm

Cost: £399 + VAT

Location: ACA UK offices, 130 Jermyn Street, London, SW1Y 4UR

Course Objectives:

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:

  • 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 ACA consultant.