Q&As

What information would it be useful to consider when looking at issues surrounding financial promotion?

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Published on LexisPSL on 29/09/2014

The following Financial Services Q&A provides comprehensive and up to date legal information covering:

  • What information would it be useful to consider when looking at issues surrounding financial promotion?

What information would it be useful to consider when looking at issues surrounding financial promotion?

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the UK’s withdrawal from the EU. Following IP completion day, key transitional arrangements come to an end and significant changes begin to take effect across the UK’s legal regime. This document contains guidance on subjects impacted by these changes. Before continuing your research, see: Brexit and financial services: materials on the post-Brexit UK/EU regulatory regime.

The general requirements on financial promotion are contained in COBS 4 of the handbook. See also COBS 4.5.2R (3) which requires that communications provide clients with 'sufficient' information. Each financial promotion needs to be compliant in its own right.

One of the key considerations to have in mind is the level of independence surrounding the production of a report.

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