Financial Promotions - Course - ZISHI

Financial Promotions: Getting It Right



Financial Promotions: Getting It Right

For group bookings, to discuss tailored delivery or for any questions about this course, please get in touch:

Course Overview


What clients see and use to make informed choices when investing, is a big issue for the regulator.


Getting your Financial Promotions right, irrespective of the media used, is critical for firms.  What would happen if your staff were to issue a financial promotion and it wasn’t clear, fair and not misleading?


Firms must have systems and processes for making sure everything that could be seen by clients is compliant and signed off by someone who is competent to do so.  Mistakes could lead to reputational damage and enforcement action by the regulator and could be costly.


Firms cannot assume all staff know what the rules are. This training workshop will provide the relevant teams with the confidence to produce compliant yet creative financial promotions and put in place workable systems and controls which allow you to get important messages about your products and services out quickly.


Make sure your staff know what is expected of them


  • That they understand the difference between financial promotions and other marketing material
  • Appreciate when detailed rules on what can and can’t be said is applicable
  • Appreciate the impact of the requirements of different media and how it will be applied
  • Can consider when, how and what needs to signed off and by whom
  • Review the common mistakes made in organisations and how to avoid them


Who is the course for


Anyone involved in the production of financial promotions for issue to clients (both retail and professional clients), possible marketeers, sales and investment staff who from time-to-time issue marketing material to clients.  Compliance and senior managers may want to attend to better understand their oversight and monitoring roles.

Financial Promotions Course - download prospectus

Course Modules


  • The legal framework, and the regulator’s objectives and powers.
  • Categorising financial promotions and other in-scope communications.
  • Essential sourcebook requirements applied to categories of financial promotion and communication.
  • Latest developments in regulatory approach.
  • The key risks and how to manage them.
  • Summary & Close.

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Financial Promotions: Getting It Right

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