You Are Currently Here:Home > Study Guides > Financial Promotion and Marketing Compliance

Financial Promotion and Marketing Compliance


CPDs: 5


  • 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





  1. Understanding the role played in advertising by the Cyprus Advertising Regulation Organization’s Code, ordinary law and good taste
  2. Disclosing risks involved in investments
  3. Understanding the core systems and controls and risk management needed for financial promotions
Go to Top