Bite-sized training modules for staff
THE FINANCIAL PROMOTIONS SERIES
Our financial promotions series has been broken down into bite-sized online training modules so that you can access them on-demand. Just select the sections that make sense for your role and your business.
Each module counts towards any CPD requirements. Complete four or more in the series to receive a completion test and certificate.
Please note, unlike our bespoke sessions, the contents are not tailored to your firms but have been designed to add value to a wide audience.
Get in touch to select which modules you would like access to or if you have any questions about this series. You can reach us at firstname.lastname@example.org
Deepen your understanding of the basics of the financial promotions restrictions. When does something become a financial promotion? Who can promote? When? How do you know what rules apply?
What are the FCA rules on the content for customer communications and financial promotions? We look at format requirements, required statements and other rules for retail and professional marketing material.
What are the key principles the FCA would expect you to stick to in any financial promotion?
When you have limited characters or are communicating through other forms such as video, what does the FCA expect? How do the rules apply to the personal accounts of staff and senior management?
Additional considerations apply when you promote a fund or SPVs classed as a non-mainstream pooled investments rules. We look at when you're caught and what extra steps you need to take.
The marketing of certain bonds and debentures to retail investors is banned. In this module we explore when a bond is classed as a speculative illiquid security, what additional rules apply and how to manage this in practice.
The additional considerations when you promote an investment that is hard to value and hard to sare found in the rules for non-readily realisable securities. We look at when you're caught and what extra steps need to be taken.
Exemptions provide options for authorised and unauthorised firms to do some marketing outside of the FCA's financial promotions regime . We look at which audiences this is useful for and what the content and distribution considerations are.