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It is an offence for a person to communicate a financial promotion unless...? commencer à apprendre
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the person is an authorised firm. Or the promotion has been approved by an authorised firm.
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Communicating financial promotion exclusion example: other: commencer à apprendre
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home reversion plan, | non-investment insurance contract | qualifying credit.
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The purpose of the financial promotion rules is to ensure that promotions are...? commencer à apprendre
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promotions are identified as such. and that they are fair not misleading.
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Principle 6 – a firm must pay due regard to the... The financial promotion rules are consistent with Principles 6 and 7 commencer à apprendre
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... the interests of its customers and treat them fairly. FCA's Principles for Businesses (PRIN)
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Principle 7 - – a firm must pay due regard to the The financial promotion rules are consistent with Principles 6 and 7 commencer à apprendre
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... information needs of its clients FCA's Principles for Businesses (PRIN)
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The FCA can remove financial promotions immediately from the market without ...? commencer à apprendre
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without FCA’s enforcement process.
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Financial promotion FCA’s Enforcement Process essence: commencer à apprendre
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FCA can require withdrawal of a financial promotion (a ban). Firms MAY CHALLENGE the decision before it is confirmed, amended, or revoked.
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Financial promotions promotion, firms should make clear which product and services that involve... commencer à apprendre
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... a risk of capital loss. also: If some activities are not regulated by the FCA, this must be made clear.| Packaged or stakeholder products not produced by the firm must be indicated.
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Face-to-face meetings and telephone conversations. Promotions, what Methods of communication is it? commencer à apprendre
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Promotions, what Methods of communication is it? commencer à apprendre
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unsolicited real-time communications.
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emails, letters or websites Promotions, what Methods of communication is it? commencer à apprendre
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non-real-time communications.
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promotions with the specified manner of responding. Promotions, what Methods of communication is it? commencer à apprendre
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direct offer financial promotions
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Anti-Greenwashing rule and guidance came into effect in 2024. They apply to...? commencer à apprendre
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... to all regulated firms; when undertaking client communication, marketing. It covers all types of communication.
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Anti-Green washing. FCA notes that Sustainability references should be...? 3 but provide even 1. commencer à apprendre
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complete, correct and capable of being substantiated.
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