UK Financial Promotion Compliance Training

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Course Summary

UK financial promotions have to be fair, clear and not misleading, and the FCA holds firms to it. This Ethena course shows staff what counts as a promotion, how the rules change by type, and how to sign off and record one properly.

What counts as a financial promotion
The fair, clear, not misleading standard
How rules differ by promotion type
Approving and recording promotions correctly

Included Modules:

What Is a Financial Promotion?

Defines a financial promotion under the UK Financial Services and Markets Act and the FCA rules, covering any invitation or inducement to engage in investment activity.

Communicating Fairly, Clearly and Honestly

Explains the FCA’s core requirement that financial promotions be fair, clear and not misleading, and how that standard shapes the way you present risks and benefits.

Financial Promotion Rules by Promotion Type

Looks at how FCA rules differ across promotion types, including real-time, non-real-time, and high-risk investment promotions, and the safeguards each one requires.

Meeting Your Financial Promotion Obligations

Shows how to approve, sign off and record financial promotions so your firm meets its FCA obligations and keeps the evidence regulators expect to see.

Why is this training important for workplaces?

Anti-money laundering (AML) is crucial for maintaining the integrity of financial systems and preventing illegal activities. Implementing strong AML measures protects businesses from reputational damage, legal consequences, and financial losses. It ensures compliance with regulatory requirements and enhances trust among clients, investors, and stakeholders. By understanding and actively addressing money laundering risks, organizations can foster a safe and secure environment, safeguard their assets, and contribute to the overall stability of the financial ecosystem.

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