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The regulator’s ‘Dear CEO’ letters in January and April 2019 sent to all firms reminded them that the FCA treats this matter very seriously and that it expects firms ‘to promote retail investment products in a manner that is fair, clear and not misleading.’

Promotions are one of the ways in which both the regulator and the public sees what a firm is about. Does the business understand the products and services that they provide? Can it communicate with its customers in a way that they will understand and relate to?

According to consultancy firm, Bovill, the FCA asks well over 200 firms each year to change or withdraw promotions. On top of that the Advertising Standards Authority takes a keen interest in the sector. All in all, can you afford not to know the rules and how to apply them?

Promotions, though, are not the only situation where client communications occur and must be clear, fair and not misleading. Suitability reports and other mailings all have to comply with these requirements.

How will this workshop assist you?

This one-day interactive workshop reminds firms of their responsibilities relating to the use of financial promotions, suitability reports what regulations financial advisors should be aware of, and how they ensure they don’t fall short of the FCA expectations.

Through the use of recent case studies and examples you will work learn how your firm can:

  • Avoid reputational damage from being seen to have misled customers and clients
  • Ensure your adverts and suitability reports are clear, fair and accurate
  • Achieve the right balance between your sales messages and the obligation to meet regulatory requirements
  • Show that you are taking the reasonable steps required under SMCR to deliver compliant financial promotions

Small group sizes & expert trainers

Small group sizes allow a high level of interaction and support. We use only the best trainers that facilitate interactive classes.

Your Trainer 

Adam Samuel is a lawyer qualified in the UK and the USA. Since 1996, Adam has run his own training and consulting business, helping out regulators in three continents on customer-facing issues. He has the qualifications required of a financial, mortgage and equity release adviser and the UK CISI compliance diploma.

More importantly, he has been helping members of the IFA and wealth management community generally and our organisation in particular with their financial promotions and other compliance issues since the early 2000s

Adam wrote the only book on consumer financial services complaint handling in the UK and a guide to the SFC Code for Intermediaries in Hong Kong. Adam has broadcast on a number of BBC domestic and World Service programmes, including the national news and Money Box, on financial services compliance and banking issues.



Adam Samuel
Independent Consultant

Booking and Registration Information

If you are a PIMFA member please ensure you have logged in to register for this webinar, podcast or event and receive your discount. If you are unsure of your login details you can request a new password via our website or email us to reset it for you. If you are unsure whether you belong to a PIMFA member firm please register for an account or email us and we will confirm this for you. You can still register for our webinars, events and podcasts as a non-member (charges apply in some instances). Requests may take up to 48 hours to process.


22nd October 2019
09:00 - 16:30
£400 - £500
Event Categories:


CPD Hours
Morning Break
Afternoon Break


PIMFA, 22 City Road, Finsbury Square, London
London, EC1Y 2AJ United Kingdom
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