Financial Promotion Advice

Financial Promotions that fail to adhere to the rules can pose a material risk to all companies. At the same time, effective marketing is crucial for any financial services firm.  

Financial promotions can take the form of a brochure, website, sponsored link Facebook post, tweet, etc. They can form a significant part of a consumer’s product knowledge, and can influence a consumer’s decision making when choosing a product. It’s therefore very important that these promotions are fair, clear and not misleading, so that consumers can make informed decisions.

1.  FCA Authorised firms

We can be retained by authorised firms to act on their behalf with respect to their client’s financial promotions. This service is particularly useful for firms that have the relevant FCA permissions to approve financial promotions but do not have the in-house resource to dedicate to the process, particularly if it is not a core service line of the business.

Scope of services include:

  • Review and comment on content with regard to rules on financial promotions being clear, fair and not misleading
  • Liaise with the client and other third party advisers throughout the process
  • Attend calls/meetings with underlying clients, where required
  • Verify the financial promotion and prepare the verification notes and pack.

2.  Non-authorised firms

We will work with you and your advisers to get your financial promotion fit for purpose and ready for issuance to your targeted prospective investors. With our help the process will be managed smoothly and without the delays that can be caused if you are not wholly aware of what is required or if you are busy on other business matters. We will:

  • Work with you and act on your behalf on the production of your financial promotion
  • Help you engage the relevant advisers, including a FCA authorised firm
  • Ensure that you are familiar with the financial promotions rules and know what constitutes a financial promotion
  • Liaise with your advisers throughout the process
  • Advise on the content with regard to the relevant FCA Sourcebook
  • Advise you on the verification that will be needed as evidence to the content of the financial promotion and help you collate the material
  • Verify the financial promotion and prepare the verification notes and pack.

Creating and promoting your offer in a clear, fair and not misleading way is central to our ethos. There are strict rules and guidelines for firms, and we’ve developed our services to specialise in this specific area.

We can provide you with a cost-effective and timely independent review service to make sure all your financial promotions and marketing material are compliant, clear and suitable for their purpose.

Contact us today for a chat or to arrange a callback request to find out how we can support you in meeting your current and future challenges with confidence.

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We can offer in-house or remote services that meet your needs and budget. To find out more about please request our pricing guide. 

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