Financial Promotion Record Keeping for Investment Firms
Fully Customisable COBS 4.11 Guide – Financial Promotions Record-Keeping
Get a fully editable COBS 4.11 – Record-Keeping Guide, designed to help firms meet the FCA’s requirements for maintaining adequate records of financial promotions. Aligned with COBS 4.11.1R–4.11.3G, SYSC, and the Consumer Duty, this guide provides clear, practical steps for implementing robust compliance oversight and ensuring all promotions—whether approved, distributed, or archived—are traceable, auditable, and regulator-ready.
The guide outlines the FCA’s expectations for retention periods, record content, and governance responsibilities, including how long promotions should be kept, what supporting documentation is required (e.g. approvals, rationale, risk assessments), and who is accountable for maintaining oversight. It breaks down requirements for both written and non-written promotions, including digital campaigns, social media, and third-party approved content.
Tools and templates are provided for building or improving internal record management systems, including record-keeping logs, metadata checklists, and storage protocols aligning with FCA standards and UK GDPR. The guide also details managing version control, evidence sign-off decisions, and structure files for quick access during FCA reviews or thematic inspections.
This guide focuses on ongoing compliance monitoring, providing recommendations for periodic internal audits, staff responsibilities, and board-level reporting to ensure the firm’s promotional activity is always under control. It also links financial promotion record-keeping to broader policies on marketing governance, training, and customer outcome testing under the Consumer Duty.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for investment firms, compliance officers, marketing teams, and financial promotion approvers. It saves time while helping firms build a clear audit trail, meet their FCA obligations, and demonstrate that every financial promotion has been properly reviewed, stored, and governed.
Fully Customisable COBS 4.11 Guide – Financial Promotions Record-Keeping
Get a fully editable COBS 4.11 – Record-Keeping Guide, designed to help firms meet the FCA’s requirements for maintaining adequate records of financial promotions. Aligned with COBS 4.11.1R–4.11.3G, SYSC, and the Consumer Duty, this guide provides clear, practical steps for implementing robust compliance oversight and ensuring all promotions—whether approved, distributed, or archived—are traceable, auditable, and regulator-ready.
The guide outlines the FCA’s expectations for retention periods, record content, and governance responsibilities, including how long promotions should be kept, what supporting documentation is required (e.g. approvals, rationale, risk assessments), and who is accountable for maintaining oversight. It breaks down requirements for both written and non-written promotions, including digital campaigns, social media, and third-party approved content.
Tools and templates are provided for building or improving internal record management systems, including record-keeping logs, metadata checklists, and storage protocols aligning with FCA standards and UK GDPR. The guide also details managing version control, evidence sign-off decisions, and structure files for quick access during FCA reviews or thematic inspections.
This guide focuses on ongoing compliance monitoring, providing recommendations for periodic internal audits, staff responsibilities, and board-level reporting to ensure the firm’s promotional activity is always under control. It also links financial promotion record-keeping to broader policies on marketing governance, training, and customer outcome testing under the Consumer Duty.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for investment firms, compliance officers, marketing teams, and financial promotion approvers. It saves time while helping firms build a clear audit trail, meet their FCA obligations, and demonstrate that every financial promotion has been properly reviewed, stored, and governed.
Fully Customisable COBS 4.11 Guide – Financial Promotions Record-Keeping
Get a fully editable COBS 4.11 – Record-Keeping Guide, designed to help firms meet the FCA’s requirements for maintaining adequate records of financial promotions. Aligned with COBS 4.11.1R–4.11.3G, SYSC, and the Consumer Duty, this guide provides clear, practical steps for implementing robust compliance oversight and ensuring all promotions—whether approved, distributed, or archived—are traceable, auditable, and regulator-ready.
The guide outlines the FCA’s expectations for retention periods, record content, and governance responsibilities, including how long promotions should be kept, what supporting documentation is required (e.g. approvals, rationale, risk assessments), and who is accountable for maintaining oversight. It breaks down requirements for both written and non-written promotions, including digital campaigns, social media, and third-party approved content.
Tools and templates are provided for building or improving internal record management systems, including record-keeping logs, metadata checklists, and storage protocols aligning with FCA standards and UK GDPR. The guide also details managing version control, evidence sign-off decisions, and structure files for quick access during FCA reviews or thematic inspections.
This guide focuses on ongoing compliance monitoring, providing recommendations for periodic internal audits, staff responsibilities, and board-level reporting to ensure the firm’s promotional activity is always under control. It also links financial promotion record-keeping to broader policies on marketing governance, training, and customer outcome testing under the Consumer Duty.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for investment firms, compliance officers, marketing teams, and financial promotion approvers. It saves time while helping firms build a clear audit trail, meet their FCA obligations, and demonstrate that every financial promotion has been properly reviewed, stored, and governed.
