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Insight

21 10, 2017

Money Laundering Supervision for Estate Agents

October 21st, 2017|AML|0 Comments

New Money Laundering Regulations 2017 … Are You Registered? Who must register You must register with HMRC if your business carries out any activity defined as estate agency work. This includes things like: sending out property details and arranging viewings offering personal advice to potential sellers or buyers answering questions from potential sellers or buyers [...]

20 10, 2017

Black Friday promotional marketing

October 20th, 2017|CAP|0 Comments

Back in Black Friday – Getting your promotional offers in line. Autumn is truly upon us, and with it comes the inevitable countdown to one of the biggest consumer events of the year, Black Friday.  One day has rapidly evolved into almost two weeks of sales so it is important that you have prepared adequately [...]

12 10, 2017

Top 10 laws of social media marketing?

October 12th, 2017|Perivan|0 Comments

When it comes to marketing via Twitter, Linkedin or other social media channels, there are some rules to follow. Read on for 10 laws of social media marketing – rules that will help deliver the clicks and interactions you’re after. Listen to your audience Before you speak on social media, listen. What does your audience [...]

4 10, 2017

Countdown to MiFID II What You Need to Know

October 4th, 2017|Smarsh|0 Comments

Current MiFID regulations date back to 2004, but are being revised to improve the functioning of financial markets following the financial crisis of a decade ago, while further strengthening investor protection. MiFID II brings a whole plethora of changes to bear for financial firms With MiFID II starting in less than 100 days, [...]

4 10, 2017

What happens to firms who don’t meet the MiFID II deadline?

October 4th, 2017|Perivan|0 Comments

This week, in a speech, Financial Conduct Authority (FCA) enforcement and market oversight executive director Mark Steward set out the regulator’s approach to enforcing the MiFID II regulations when they come into play next January. What do you need to do to comply with the Directive? The Markets in Financial Instruments Directive II comes into [...]

1 10, 2017

It’s a Social, Mobile World Out There, People

October 1st, 2017|Smarsh|0 Comments

Compliance practices are being forever changed by the widespread adoption of mobile and social technologies, combined with shifting workplace demographics. Millennials—or those between the ages of 18 and 29—are putting down deep roots in the investment world these days, and are demanding a whole new way of finding and interacting with their financial firms [...]

23 09, 2017

How to produce complaint-free ads using behavioural science

September 23rd, 2017|Perivan|0 Comments

We all know that some ads are designed…if not quite to deceive, then to be disingenuous. How do you spot them? – and as a marketer, how do you avoid creating them? We take a look at how behavioural science can help us to identify when we’re being manipulated or downright lied to. And how [...]

23 09, 2017

Halloween and Bonfire Night themed ads

September 23rd, 2017|CAP|0 Comments

Whatever you do, don’t fall asleep… when creating Halloween and Bonfire Night themed ad. As the saying goes, Halloween and Bonfire Night come but once a year. Or is that Christmas? Either way, ads that are centred on these seasonal events can draw an increase in complaints to the Advertising Standards Authority (ASA) about scary [...]

22 09, 2017

Will SMCR increase your risk of an FCA fine?

September 22nd, 2017|Perivan|0 Comments

The Financial Conduct Authority (FCA) have given a speech about the new Senior Managers and Certification Regime (SMCR). Reporting on the speech, almost all media have focused on the regulator’s desire to downplay the regime representing a ‘culture of fear’, where more frequent fines and individual punishments drive compliance. As Fund Strategy magazine put it, [...]

22 09, 2017

Six top tips to win at Promotional Marketing

September 22nd, 2017|CAP|0 Comments

Six ways to win at Promotional Marketing Promotions include a range of activities from money off and multi-buy offers to competitions and prize draws. If you run one, you’re the promoter and are therefore responsible for all of its aspects and stages. Whatever the promotion, remember these six key top tips provided by the Committees [...]

18 09, 2017

Fintech experiencing growth, but is it popular?

September 18th, 2017|Perivan|0 Comments

That’s one of the questions explored in a new Fintech survey carried out by EY. The 2017 UK FinTech Census is based on a study of over 245 financial technology companies, the majority from payments and remittances and financial software businesses. It was carried out by EY and Innovate Finance on behalf of Her Majesty’s [...]

18 09, 2017

4 things you need to do now about MiFID II and financial promotions

September 18th, 2017|Compliance|0 Comments

MiFID II will have a huge impact on regulated firms when it comes into force in January 2018. Financial promotions and marketing are two areas where it will have significant implications. Here we look at the four things Compliance teams should do now to maximise their firms’ chances of complying. How will MiFID II impact [...]

9 09, 2017

Driven to distraction – In-car technology and the Ad Codes

September 9th, 2017|CAP|0 Comments

Smart technology is big.  And car buyers increasingly expect the vehicles they buy to contain the latest technology.   From smartphone integration through to semi-autonomous cars that can pilot themselves under the right circumstances, manufacturers are finding innovative ways to improve safety by using cameras and radar to keep an eye on the road, improve entertainment [...]

5 09, 2017

GDPR – setting the record straight on data breach reporting

September 5th, 2017|ICO|0 Comments

Information Commissioner series of blogs continues to sort the fact from the fiction by busting some of the myths around the General Data Protection Regulation (GDPR). New requirements to report serious breaches of personal data are high up on the list of issues we need to address. Misleading press stories have claimed that all breaches [...]

2 09, 2017

How has marketing compliance changed in the last ten years?

September 2nd, 2017|Perivan|0 Comments

A new blog by the Advertising Standards Authority (ASA) explores the ways that ensuring advertising compliance has changed over the last decade. Here we look at these changes, and what they mean for you. What are CAP and the ASA? The Committee of Advertising Practice (CAP) sets rules for advertising in the UK. Alongside the ASA – [...]

24 08, 2017

Gender on the Agenda

August 24th, 2017|CAP|0 Comments

Since the Advertising Standards Authority (ASA) published its recent report on gender stereotypes in advertising, you may be giving more thought to how you go about depicting gender in your ads. Until Committees of Advertising Practice (CAP) has completed further work based on the ASA’s findings, the current positions still stand. Whilst the report presented a case [...]

17 08, 2017

Helping Financial Firms Meet MiFID II Requirements

August 17th, 2017|Smarsh|0 Comments

Voice archiving is critical to MiFID II compliance On 3 January 2018, Europe will see MiFID II and MiFIR come into place. With core principles focused on fairer, safer and more efficient markets, this is a significant piece of legislation. The MiFID II directive impacts financial services firms that operate and/or do business with European firms [...]

16 08, 2017

Consent is not the ‘silver bullet’ for GDPR compliance

August 16th, 2017|ICO|0 Comments

Last week Elizabeth Denham, Information Commissioner, launched a series of blogs to bust some of the myths that have developed around the General Data Protection Regulation (GDPR). Before the new law comes into effect on 25 May 2018, I feel bound to sort the fact from the fiction. Because there is a lot of misinformation [...]

12 08, 2017

If you’re not compliant you’re not coming in

August 12th, 2017|CAP|0 Comments

Clubbing and the CAP Code – If you’re not compliant you’re not coming in Nightclub event promotion has come a long way since the days when fly posters and leaflets dominated the advertising landscape.  Thanks to digital media there is now a broader range of ways to promote an event than ever before.  With sensitive themes [...]

11 08, 2017

Travel marketing – Don’t just ‘wing’ it

August 11th, 2017|CAP|0 Comments

With summer well underway, marketers are reminded to ensure their ads for travel products and packages stay on the right flight path and stick to the ad rules.  So pack your bags and get ready for a whistle-stop tour of what to do and what to avoid when marketing flights, accommodation and other travel products. [...]