Financial Promotion
Duration
This is a three hour training session, qualifying for 3 CPD hours.
Objectives
The objectives of the training session are to enable participants to:
- Identify whether a communication is a financial promotion and any relevant exemptions from the requirement for issue or approval by an authorised person.
- Analyse and apply the relevant provisions of FSMA and the statutory instrument creating exemptions.
- Appreciate the requirements of the role of an authorised person in approving financial promotions.
- Appreciate the consequences of a financial promotion being communicated without the necessary approval.
