Financial Promotions and Appropriateness

- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Digital Marketing/ Sales/ Service - Νομοθεσία, Νομική & Δικηγόροι

20 Σεπ 2022 09:00 22 Σεπ 2022 11:45
Αγγλικά
5 ώρες ( 2 μέρες )
Financial Promotions and Appropriateness

ΠΕΡΙΓΡΑΦΗ

Everyone wants to know how to put their product or service out in front of future customers in a multi-channel world. It is also a world where the European Securities and Markets Authority and CySEC have already intervened in a significant way to dictate the forms of marketing allowed in the Contracts for Differences market. Marketing regulation is not confined to financial services regulators. The Cyprus Advertising Regulatory Organization (CARO) has its own rules. All of these regimes are modelled around the “fair, clear and not misleading” found in MiFID 2.

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

By the end of the programme, participants should be able to:

  • Understand the key MiFID and MiFID-related provisions on financial promotions and appropriateness testing
  • Read promotions and spot their strengths and weaknesses
  • Apply the concepts of standalone compliance and regulatory media neutrality
  • Apply “fair, clear and not misleading” to a variety of different media
  • Identify the types of promotion that carry the lowest compliance risk
  • Understand the basics of risk management in relation to promotions and digital media
  • Know when they have to carry out appropriateness testing
  • Understand the appropriateness testing conditions required
  • Know what to do with the results of the appropriateness testing

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

The programme is ideal for:

  • Complaint handlers
  • Customer relations and customer service staff
  • Lawyers
  • Risk managers
  • Board directors and chief executives
  • Compliance officers and managers
  • Marketing people
  • Product technicians

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

Training Outline

Financial promotions – digital to billboards

  • MiFID and CARO code
  • What is a promotion?
  • Image advertising and other promotional activity outside MiFID
  • Fair, clear and not misleading
  • Risks and their description
  • CYSEC CfD compulsory warnings
  • Unfair comparisons
  • Past, future and simulated performance
  • Digital media elements – social media, pay-per-click and websites

 

Appropriateness Testing

  • When?
  • What do you test?
  • How do you test?
  • How do you assess the results?
  • Risk warnings and their impact on whether you accept the client

 

Training Style 

The training style is interactive involving a combination of discussions and presentation, group work and case studies (taken from real-live examples). Participants are encouraged to share their opinions from their different perspectives.

 

CPD Recognition

This programme may be approved for up to 5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.


Trainer

Adam Samuel

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. 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. The Gibraltar Supreme Court followed his expert evidence in van Geens v. Jyske Bank on product risk, compliance and advice standards around the world. Adam has broadcast on a number of BBC domestic and World Service programmes, including the national news, on financial services compliance and banking issues.

Trainer's Information
Adam Samuel - Lawyer & Independent Financial Services Professional

Adam combines qualifications as a barrister and attorney in England and the US respectively with those for an advanced financial adviser and compliance adviser. He trains, writes about and fixes the customer-facing problems faced by firms and regulators in the UK, EU and other parts of the world. He also wrote the only UK book on financial services complain handling now in its second edition.

Αναλυτικό Κόστος Σεμιναρίου
  • € 200.00
  • € 0.00
  • € 38.00
  • € 200.00
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ

Τρίτη - 20 Σεπ 2022

Ώρα

09:00 - 11:45

ΕΚΠΑΙΔΕΥΤΗΣ:

Adam Samuel

Τοποθεσία:

OnLine Virtual Classroom

Πέμπτη - 22 Σεπ 2022

Ώρα

09:00 - 11:45

ΕΚΠΑΙΔΕΥΤΗΣ:

Adam Samuel

Τοποθεσία:

OnLine Virtual Classroom

Εκδήλωση Ενδιαφέροντος : Financial Promotions and Appropriateness

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GDPR General Data Protection Regulation Staff Awareness...

Description This course examines GDPR from a Staff Awareness perspective. You will appreciate the need, scope and concepts of GDPR as well as learn about the...

31/01/2025 23:58

Ελληνικά

eLearning

Market Abuse Regime (MAR) iLecture...

Market Abuse Regime (MAR) iLecture by Vivienne Bannigan An interactive 90-minute on-demand market abuse workshop. Background The purpose of the mar...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC Basic Examination Practice and Mock Exams...

Description  A set of 2 full Mock Exams in English for the latest CySEC Basic Examination Syllabus.  ...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 15 CPD Bundle 4...

The course includes: Fundamentals of Environmental, Social & Governance (ESG) Reporting & Compliance Financial Crime Risk Management Digital Operation...

31/01/2025 23:58

Αγγλικά

eLearning

IGCA Certificate in AML...

The IGCA’s AML Certificate’s Curriculum IGCA’s AML Certificate covers the following specific topics: – Money laundering methods, techniques, red flags and...

31/01/2025 23:58

Αγγλικά

eLearning

Ethereum Developer...

Description  This course on Ethereum developers is designed for programmers and developers who want to take a comprehensive deep dive in writing smart contra...

31/01/2025 23:58

Αγγλικά

eLearning

MiFIR iLecture...

MiFIR Transaction Reporting iLecture by Vivienne Bannigan An interactive 90-minute on-demand MiFIR workshop. Background Accurate and complete MiFIR...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 10 CPD Bundle 8...

The course includes: Market Abuse Regulation Overview Best Execution Overview Ethics, Integrity and Fairness in Financial Services Digital Operation...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 15 CPD Bundle 3...

The course includes: Market Abuse and Regulation Treating Customers Fairly and Handling Complaints in the Financial Services Sector ...

31/01/2025 23:58

Αγγλικά

eLearning

Market Abuse Regulation Overview...

This course offers a condensed review of Market Abuse Regulation (MAR). It addresses the characteristics of market abuse and the impact on firms and individuals...

31/01/2025 23:58

Αγγλικά

eLearning

UCITS - Undertakings for Collective Investments in Transferable Securi...

Description This course offers a comprehensive introduction to the Undertakings for Collective Investments in Transferable Securities (UCITS). It addresses t...

31/01/2025 23:58

Αγγλικά

eLearning

Compliance Essentials...

ACompliance Essentials provides comprehensive coverage of the key compliance / conduct issues that financial services sector companies face today. It provides 8...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 20 CPD Bundle 8...

The course includes: Advanced Anti-Money Laundering for Financial Institutions Know your Client (KYC) and Customer Due Diligence (CDD) ICAAP – Interna...

31/01/2025 23:58

Αγγλικά

eLearning

Anti-Money Laundering and Terrorism Financing Fundamentals...

Description This course offers a basic overview of the Money Laundering and Terrorism Financing. It addresses the macroeconomic consequences of unchecked mon...

31/01/2025 23:58

Αγγλικά

eLearning

Fundamentals of Risk Management...

Description This course offers a condensed review of risk management, with a specific focus on operational, credit and market risks. The course also covers r...

31/01/2025 23:58

Αγγλικά

eLearning

Financial Promotion and Marketing Compliance...

Description This course examines the role of the regulatory framework and competent authorities in countries such as the UK, Malta, the US, Cyprus and German...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 20 CPD Bundle 6...

The course includes: Best Execution Overview AIF – Alternative Investment Funds Understanding Securities Financing Transaction Regulation – SFTR Fin...

31/01/2025 23:58

Αγγλικά

eLearning

Approved Persons Regime...

Approved Persons Regime awareness course for all members of firms NOT subject to the Senior Managers & Certification Regime (SM&CR) which came into effect on 7 ...

31/01/2025 23:58

Αγγλικά

eLearning

Certificate in Compliance...

Every organization faces a myriad of risks that can threaten its operations, reputation, and bottom line. A robust, effective compliance program can make the di...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 20 CPD Bundle 2...

The course includes: Advanced Anti-Money Laundering for Financial Institutions International Economic Sanctions Sustainable Finance Disclosure Regulat...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 10 CPD Bundle 6...

The course includes: Financial Regulation: The International Regulatory Environment Governance, Risk Management and Compliance Digital Operational Res...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 15 CPD Bundle 5...

The course includes: Corporate Governance for Financial Institutions International Economic Sanctions Fundamentals of Environmental, Social & Governan...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC Basic Examination Practice and Mock Exams...

A set of 3 full Mock Exams in English for the latest CySEC Basic Examination Syllabus. Registration and Access To register to this course, click on the Bu...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 15 CPD Bundle 8...

The course includes: Advanced Anti-Money Laundering for Financial Institutions International Economic Sanctions Product Governance, Suitability and Ap...

31/01/2025 23:58

Αγγλικά

eLearning

Compliance Introduction...

A firm needs to establish, implement and maintain adequate policies and procedures sufficient to ensure compliance of the firm (covering its managers, employees...

31/01/2025 23:58

Αγγλικά

eLearning

AIF and AIFM...

Description This course offers a comprehensive introduction to Alternative Investment Funds (AIF) and to Alternative Investment Fund Managers (AIFM) It addre...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC AML Certification Examination Practice and Mock Exams...

Description A set of 4 full Mock & Revision Exams in English for the latest CySEC AML Certification Examination Syllabus. ...

31/01/2025 23:58

Αγγλικά

eLearning

AAT – Credit Management...

The AAT is the UK’s leading Accountancy body offering entry level qualifications. The AAT is open to all, regardless of age or experience there is a place that ...

31/01/2025 23:58

Αγγλικά

eLearning

MiFIR Transaction Reporting (5 CPD Units)...

DESCRIPTION MiFID II/MiFIR which came into effect on 3 January 2018, is a new legislative framework which aims to strengthen investor protection and improve th...

31/01/2025 23:58

5 ώρες (1 ημέρα)

Αγγλικά

eLearning

CySEC 20 CPD Bundle 7...

The course includes: Governance, Risk Management and Compliance Fundamentals of Environmental, Social & Governance (ESG) Reporting & Compliance Ethics...

31/01/2025 23:58

Αγγλικά

eLearning

European Market Infrastructure Regulation (EMIR) Overview...

Description This course offers a comprehensive overview of the EMIR. It addresses the EMIR requirements, the types of counterparties and the clearing obligat...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 10 CPD Bundle 2...

The course includes: Anti-Money Laundering and Terrorism Financing Fundamentals Fundamentals of Risk Management Market Abuse Regulation Ove...

31/01/2025 23:58

Αγγλικά

eLearning

Corporate Governance for Financial Institutions...

The concept/term Corporate Governance has featured regularly in discussions, both within the professional and academic community, since the 1990s and has become...

31/01/2025 23:58

Αγγλικά

eLearning

Insider Dealing and Market Manipulation...

Description This course will provide a comprehensive introduction to the Market Abuse Regulation's definitions on insider information and inside dealing. It ...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC Advanced Examination Practice and Mock Exams...

Description  A set of 6 full Mock & Revision Exams in English for the latest CySEC Advanced Examination Syllabus.  ...

31/01/2025 23:58

Αγγλικά

eLearning

Anti-Money Laundering and Counter Terrorist Finance...

Τhis course provides staff with an understanding of the process of money laundering, the laws and regulations that make it illegal, and the responsibilities of ...

31/01/2025 23:58

Αγγλικά

eLearning

Cyber Security Essentials...

We’re in an era that relies on technology more than eve. Aside from being a constant presence in our daily lives, it’s become ingrained in many of our business ...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC AML Certification Examination Practice and Mock Exams...

A set of 5 full Mock & Revision Exams in English for the latest CySEC AML Certification Examination Syllabus. Registration and Access To register to this ...

31/01/2025 23:58

Αγγλικά

eLearning

CISI International Introduction to Investment...

Description The International Introduction to Investment offers a broad introduction to the financial services professional sector, with a specific focus on ...

31/01/2025 23:58

Αγγλικά

eLearning

Certified Blockchain Business Foundations (CBBF) with Exam Voucher...

Description  This course will cover the syllabus of BTA's Certified Blockchain Business Foundations (CBBF) examination.  The Certified Blockchain Business...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 20 CPD Bundle 3...

The course includes: ICAAP – Internal Capital Adequacy Assessment Process Fundamentals of Environmental, Social & Governance (ESG) Reporting & Complianc...

31/01/2025 23:58

Αγγλικά

eLearning

CySEC 20 CPD Bundle 1...

The course includes: Risk Based Approach (RBA) to Anti Money Laundering AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs) ...

31/01/2025 23:58

Αγγλικά

eLearning

Compliance Introduction...

Compliance involves the efforts and programs of an organization to ensure that the business complies with government and industry regulations. If your organizat...

31/01/2025 23:58

Αγγλικά

eLearning

EKK (CySEC) Ερωτήσεις Προετοιμασίας Βασικής Εξέτασης...

Περιγραφή  Τρεις (3) Εξετάσεις Ποετοιμασίας για τη Βασική Εξέταση της Επιτροπής Κεφαλαιαγοράς Κύπρου (ΕΚΚ) στα Ελληνικά..  ...

31/01/2025 23:58

Ελληνικά

eLearning

CySEC 10 CPD Bundle 4...

The course includes: European Market Infrastructure Regulation (EMIR) Overview Practical Aspects of the Compliance Function Ethics and Compliance ...

31/01/2025 23:58

Αγγλικά

eLearning

Market Abuse and Regulation...

Description This course will provide a comprehensive review of Market Abuse and the respective regulatory environment. It will cover inside information and i...

31/01/2025 23:58

Αγγλικά

eLearning

Certificate in KYC and CDD...

KYC/CDD is a critical element for effectively managing the risks posed by potential clients (thus protecting the organization against criminals, terrorists, and...

31/01/2025 23:58

Αγγλικά

eLearning