Financial promotions

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Financial promotions guidance:

This Practice Note introduces the laws and regulations governing advertising in general and covers: • Regulatory regime overview • Non-broadcast advertising • Broadcast...

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Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for communications...

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This Practice Note explains the process for the approval by authorised of financial promotions under section 21 of Financial Services and Markets Act 2000 (FSMA 2000)....

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What is the financial promotion restriction? Under section 21 of the Financial Services and Markets Act 2000 (FSMA 2000), a person (A) must not, in the course of...

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This Practice Note explains what direct offer financial promotions and cold calls are and which of the Financial Conduct Authority's (FCA) rules apply to them....

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This Practice Note explains the exemptions from the financial promotion restriction which are contained in chapter 4.12 of the Financial Conduct Authority...

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This Practice Note explains the regulatory rules for the use of performance information in client communications (contained in the Financial Conduct Authority (FCA)'s...

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This Practice Note explains the Financial Conduct Authority (FCA)'s rules on systems, controls and records in relation to financial promotions (contained in the Conduct...

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Many businesses wish to promote their goods or services by reference to those of a competitor to gain a commercial advantage. For example, a business may seek to...

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FCA approach on the supervision of financial promotion This Practice Note provides information on how the Financial Conduct Authority (FCA) ensures that financial...

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This Practice Note explains the Financial Conduct Authority's (FCA) form and content requirements for client communications, including financial promotions under the...

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This Practice Note highlights issues that the Financial Conduct Authority (FCA) regards as significant in relation to the putting together of a financial promotion in...

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Financial Promotion Order: groups of exemption This Practice Note looks at exemptions from the financial promotion restriction which may be relevant to...

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This Practice Note explains the exemptions from the financial promotion restriction which are available for all controlled activities. For more information about the...

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The exemptions to the financial promotion restriction are contained in the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005, SI 2005/1529 (FPO)....

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This Practice Note looks at exemptions from the financial promotion restriction which may be most relevant to financial services practice. These exemptions are not...

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Implementation of the Insurance: Conduct of Business Sourcebook (ICOBS) On 6 January 2008, the Financial Conduct Authority's (FCA) predecessor, the Financial Services...

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This Practice Note provides an overview to the Financial Conduct Authority's (FCA) contained in Chapter 4 of the Conduct of Business sourcebook (COBS 4) requirements,...

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Misleading impressions—elements of the offence The Financial Services Act 2012 (FSA 2012) creates an offence of misleading impressions where formerly under section 397 of...

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Elements of the offence of misleading statements in relation to benchmarks The Financial Services Act 2012 (FSA 2012) introduces an offence in respect of misleading...

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Offences relating to financial services The Financial Services Act 2012 creates three offences relating to market manipulation where formerly under section 397 of the...

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Application of chapters 3A and 3B of the FCA's Mortgage Conduct of Business Sourcebook (MCOB 3A and MCOB 3B) This Practice Note provides an overview of the financial...

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This Practice Note explores the financial promotion requirements for regulated collective investment schemes only. To explore the financial promotion...

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This Practice Note explores the UK restrictions placed on the promotion of an unregulated collective investment scheme (UCIS). For information on the restrictions on the...

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What is the financial promotion regime? The term ‘financial promotion’ is not used in the Financial Services and Markets Act 2000 (FSMA 2000) other than in the title of...

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Regulation of consumer credit advertisements On 1 April 2014, the regulation of consumer credit firms came under the supervision of the Financial Conduct Authority (FCA)....

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