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Sales Compliance and Techniques for Investment Firms
- Χρηματοοικ. Ασφαλιστικά Τραπεζικά - Digital Marketing/ Sales/ Service
Αγγλικά
5 ώρες
(
2 μέρες
)
ΠΕΡΙΓΡΑΦΗ
The programme offers professionals the opportunity to examine specific approach of handling client communication relating to financial products and services in the compliant manner. The programme will focus on the proper provision of information, including marketing and communication through sales and retention representatives.
ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ
This course aims to assist professionals (in particularly those whose primary function is within the Sales and Marketing environment) in understanding the regulatory framework they must operate in and develop a self-understanding as to the allowed sales techniques. As such, participants will:
Knowledge
- Learn how to implement the current legislation’s values within their marketing and sales approach
- Understand how the required compliance, and marketing and sales come together in the promotion and sales of products to be in line with the latest regulations
- Consider the updated regulatory framework
Skills
- Examine the challenges and explore the solutions that ensure compliancy within the industry
- Develop a successful sales pitch that both complies with law requirements while at the same time maintains profitability for the business
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
The programme is ideal for:
- Compliance Officers
- Marketing Managers and Officers
- Sales and Business Development Executives
- Customer Support Representatives
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Training Outline
- Compliance in Conversion
- Intro – Choose your battles
- Qualifying – Not interrogating
- Present the product – Overpromising / misleading
- Resistances – Rebuttal with logic & common sense
- Compliance in Retention
- Tonality
- Attitude
- Communication
- Compliance Monitoring throughout adequate procedures
- Financial Promotion and regulatory approach to Marketing Compliance
- Going beyond the regulator’s rules
- Fair, clear & not misleading Marketing
- Image adverts
- Promotions and advice
- Digital media
- Third Parties
- Upselling
- Trading volume
Training Style
Training will participative and include:
- Course PowerPoint Presentations
- Case studies and Video Cases
- Flip chart and Projector
- Group discussion
- Group work and mini scenarios
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.
Πληροφορίες Εκπαιδευτή
Νεκτάριος Μιχαήλ - Director at IDCY
Αναλυτικό Κόστος Σεμιναρίου
- € 180.00
- € 0.00
- € 34.20
- € 180.00
- € 214.20
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Τετάρτη - 12 Ιουν 2024
Ώρα
15:30 - 18:15
ΕΚΠΑΙΔΕΥΤΗΣ:
Νεκτάριος ΜιχαήλΤοποθεσία:
OnLine Virtual Classroom
Πέμπτη - 13 Ιουν 2024
Ώρα
15:30 - 18:15
ΕΚΠΑΙΔΕΥΤΗΣ:
Νεκτάριος ΜιχαήλΤοποθεσία:
OnLine Virtual Classroom
Εκδήλωση Ενδιαφέροντος : Sales Compliance and Techniques for Investment Firms
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31/01/2026 18:39
Αγγλικά
eLearning
The Fund Industry: Latest Regulatory Framework...
Description This course offers a comprehensive introduction to AIF, AIFM, AIFMD, and UCITS. It addresses the various categories and legal forms of AIFs, the ...
31/01/2026 18:39
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...
31/01/2026 18:39
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...
31/01/2026 18:39
Αγγλικά
eLearning
CySEC 20 CPD Bundle 9...
The course includes: Advanced Anti-Money Laundering for Financial Institutions Know your Client (KYC) and Customer Due Diligence (CDD) ICAAP – Interna...
31/01/2026 18:39
Αγγλικά
eLearning
European Investment Funds: a Comprehensive Guide to UCITS, AIFs, Struc...
This course provides a comprehensive overview of European investment funds, focusing on their structure, regulation, and emerging trends. Participants will gain...
31/01/2026 18:39
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 ...
31/01/2026 18:39
Αγγλικά
eLearning
CySEC 10 CPD Bundle 6...
The course includes: Financial Regulation: The International Regulatory Environment Governance, Risk Management and Compliance Digital Operational Res...
31/01/2026 18:39
Αγγλικά
eLearning
CySEC 20 CPD Bundle 4...
The course includes: Anti-Bribery and Anti-Corruption Anti-Money Laundering and Terrorism Financing Fundamentals Corporate Governance for Financial In...
31/01/2026 18:39
Αγγλικά
eLearning
CySEC 10 CPD Bundle 5...
The course includes: AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs) Market Abuse Regulation Overview Best Execution Ove...
31/01/2026 18:39
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...
31/01/2026 18:39
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...
31/01/2026 18:39
Αγγλικά
eLearning
AIF - Alternative Investment Funds...
Description This course offers a comprehensive introduction to the Alternative Investment Funds (AIF). It addresses national and EU issues, reflecting the le...
31/01/2026 18:39
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...
31/01/2026 18:39
Αγγλικά
eLearning
CySEC 15 CPD Bundle 4...
The course includes: Fundamentals of Environmental, Social & Governance (ESG) Reporting & Compliance Financial Crime Risk Management Digital Operation...
31/01/2026 18:39
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 ...
31/01/2026 18:39
Αγγλικά
eLearning
CySEC 15 CPD Bundle 5...
The course includes: Corporate Governance for Financial Institutions International Economic Sanctions Fundamentals of Environmental, Social & Governan...
31/01/2026 18:39
Αγγλικά
eLearning
Ethics, Integrity and Fairness in Financial Services...
Firms and individuals operating in the sector must be conscious and mindful of these standards and expectations and consider both whether they are satisfying th...
31/01/2026 18:39
Αγγλικά
eLearning
Advanced Anti-Money Laundering for Financial Institutions...
This comprehensive course provides an in-depth exploration of Anti-Money Laundering (AML) strategies, criminal activities, and regulatory frameworks. Desig...
31/01/2026 18:39
Αγγλικά
eLearning