Financial Promotions Workshop

Introduction

The issuance of financial promotions brings into play s.21 Financial Services and Markets Act 2000 and the Financial Promotions Order 2005 (as amended). This statutory instrument is badly drafted and impacts widely on the advertising of financial products. Its contents need to be understood to avoid potential disciplinary steps by the regulator and criminal proceedings.

Content

What types of communication get caught by the statutory instrument? What is caught by the definition of inducement? The different methods of communication and the various types of investment concerned bring in different requirements in terms of the content that must be set out. What are the exclusions, what are the issues in advising and investment suitability and what are the jurisdictional issues?

What are the key risk elements to factor in when a promotion has to be made?

Who should attend?

  • Those responsible for approving financial promotions
  • Compliance staff
  • Legal advisers
  • Those involved in fund raising
  • Those engaged in advertising

Speaker

Professor Andrew Haynes BA (Hons) Law, PhD, Cert Ed, FRSA, FSALS

Schedule, Location and Price

  • Location: MPAC Group, 3 Beeston Place, Belgravia, London SW1W 0JJ
  • Price: £350 plus VAT and a 10% discount for more than one person from a single firm.
  • Please Note: Maximum of eight participants per workshop.

All attendees will receive a participation certificate with the workshop date and times, attesting to their participation in the workshop.

Enquire now