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?

Financial promotions are how firms talk to customers about their products, and UK rules require those communications to be fair, clear, and not misleading. Get it wrong and you risk regulatory action from the FCA, withdrawn promotions, fines, and customers who were sold something based on a claim they didn’t fully understand. When your teams know how to approve and sign off promotions correctly, you protect your customers from harm, keep your firm on the right side of the regulator, and build the kind of trust that keeps people doing business with you.

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