Financial Promotions In-House Course Case Study

23 August 2022
On the 23rd August 2022 Redcliffe Training presented a one-day course in two half-day live webinars on Financial Promotions to a leading Investment Management firm.

The client and the requirement:

A leading Investment Management, holding and financial services firm asked Redcliffe Training to present the Financial Promotions course exclusively for them.

This is what the participants said about the Roles and Responsibilities of the Money Laundering Officer (MLRO) course:

“Our trainer was very engaging and made the topic very fun and enjoyable.”

 “The trainers’ knowledge and wit were key to bringing to life what can be a very dry topic. His ability to frame the regulations from both a compliance and commercial perspective helped to engage the whole group and refocus our internal discussions and processes around this topic.”

 “The trainer was extremely engaging and made the topic interesting, this had a really positive impact and helped to deliver the important parts, he certainly prevented it from being boring or dry!”

The course covered:

  • Financial Promotions – Latest News
  • What is a Financial Promotion?
  • What is the drive behind regulation?
  • The General “Rules”
  • Introduction to the Advertising Standards Authority (Overview)
  • Company Specific Issues
  • Financial Promotions Regulation in Practice
  • Financial Promotions Using New Media
  • FCA Linking Financial Promotions with Complaints Handling
  • Exceptions to the Rules
  • Record Keeping
  • Prominence & Financial Promotions
  • Course Conclusion

This bespoke Financial Promotions course was tailored to the specific training requirements of our Investment Management firm client. If you would like to speak with us regarding your specific training needs please submit a contact form or give us a call on +44 (0)20 7387 4484 today.

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