Financial promotion

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The financial promotion regime is rooted in section 21 of the Financial Services and Markets Act 2000 (FSMA 2000). Under FSMA 2000, s 21(1), a person (A) must not, in the course of business, communicate an invitation or inducement (communicate includes causing a communication to be made) to engage in investment activity. FSMA 2000, s 21(2) sets out the following three circumstances in which the restriction will not apply:

  1. •

    A is an authorised person (meaning that such person has been authorised by the FCA or Prudential Regulation Authority (PRA) in accordance with FSMA 2000, s 31)

  2. •

    the content of the communication is approved by an authorised person,

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