CPDs: 5
COURSE OUTLINE
- Intro
- The role of Marketing Compliance Specialist
- Financial Promotion Competent Authorities in UK, US, Malta, Cyprus – Safeguarding of Client Funds
- Investor Compensation Schemes
- Strict Oversight and Supervision
- Code of Conduct and Strict Corporate Governance
- Best Execution Requirement
- Effective and Transparent Complaints Procedure
- Important Disclosures
- Protection for Inexperienced Investors
- Detailed Reporting to Clients
- Excellence of Service and Personnel
- Rules for Trading Platforms and IT Systems
- Session Summary
- Key Points
- Intro
- Financial Promotion Investment Advice
- Personal Recommendation
- When should advice NOT be given to clients?
- Conditions for information to be fair, clear and not misleading – Session Summary
- Key Points
- Intro
- Advertising Guidelines
- Practices that are NOT compliant with the law – Session Summary
- Key Points
- Intro
- Unfair Business-To-Consumer Commercial Practices – Misleading Commercial Practices
- Aggressive Commercial Practices
- Summary Session
- Key Points
