Promotions of Non Mass Market Investments
Length: 27 Pages
Applies to: Investment Firms
Fully Customisable Guide – Promotion of Non-Mass Market Investments (NMMIs)
Get a fully editable Promotion of Non-Mass Market Investments (NMMIs) Guide, created to help investment firms comply with the specific FCA rules governing marketing investments classified outside the Mass Market regime. This guide explains how to manage the promotion of NMMIs, such as units in alternative investment funds (AIFs), venture capital trusts (VCTs), and other restricted investment products, under COBS 4, COBS 22, and the Financial Promotion Order (FPO).
The document provides a clear framework for ensuring NMMI promotions are only made to certified high-net-worth investors, sophisticated investors, or those qualifying for appropriate exemptions. It explains the required disclosures, risk warnings, certification processes, and eligibility checks, offering real-world examples and templates to simplify compliance across digital, print, and event-based marketing channels.
Detailed checklists and sample templates for investor declarations, disclosure statements, and compliance record-keeping are included, making it easy for compliance officers and marketing teams to operationalise the rules. The guide also highlights common pitfalls when promoting NMMIs and explains how to apply a risk-based governance approach to protect the firm and ensure communications are not misleading or unfair.
A dedicated section outlines how NMMI promotion controls should integrate with wider governance structures, including financial promotions approval frameworks, training & competence (T&C) programmes, and Consumer Duty compliance, ensuring a consistent approach to customer protection and regulatory transparency.
This Microsoft Word guide is ideal for investment managers, private equity firms, EIS/VCT specialists, wealth managers, and compliance consultants. It is instantly downloadable and fully editable. It saves time while helping firms confidently promote non-Mass Market Investments in a compliant, customer-focused, and regulator-ready manner.
Length: 27 Pages
Applies to: Investment Firms
Fully Customisable Guide – Promotion of Non-Mass Market Investments (NMMIs)
Get a fully editable Promotion of Non-Mass Market Investments (NMMIs) Guide, created to help investment firms comply with the specific FCA rules governing marketing investments classified outside the Mass Market regime. This guide explains how to manage the promotion of NMMIs, such as units in alternative investment funds (AIFs), venture capital trusts (VCTs), and other restricted investment products, under COBS 4, COBS 22, and the Financial Promotion Order (FPO).
The document provides a clear framework for ensuring NMMI promotions are only made to certified high-net-worth investors, sophisticated investors, or those qualifying for appropriate exemptions. It explains the required disclosures, risk warnings, certification processes, and eligibility checks, offering real-world examples and templates to simplify compliance across digital, print, and event-based marketing channels.
Detailed checklists and sample templates for investor declarations, disclosure statements, and compliance record-keeping are included, making it easy for compliance officers and marketing teams to operationalise the rules. The guide also highlights common pitfalls when promoting NMMIs and explains how to apply a risk-based governance approach to protect the firm and ensure communications are not misleading or unfair.
A dedicated section outlines how NMMI promotion controls should integrate with wider governance structures, including financial promotions approval frameworks, training & competence (T&C) programmes, and Consumer Duty compliance, ensuring a consistent approach to customer protection and regulatory transparency.
This Microsoft Word guide is ideal for investment managers, private equity firms, EIS/VCT specialists, wealth managers, and compliance consultants. It is instantly downloadable and fully editable. It saves time while helping firms confidently promote non-Mass Market Investments in a compliant, customer-focused, and regulator-ready manner.
Length: 27 Pages
Applies to: Investment Firms
Fully Customisable Guide – Promotion of Non-Mass Market Investments (NMMIs)
Get a fully editable Promotion of Non-Mass Market Investments (NMMIs) Guide, created to help investment firms comply with the specific FCA rules governing marketing investments classified outside the Mass Market regime. This guide explains how to manage the promotion of NMMIs, such as units in alternative investment funds (AIFs), venture capital trusts (VCTs), and other restricted investment products, under COBS 4, COBS 22, and the Financial Promotion Order (FPO).
The document provides a clear framework for ensuring NMMI promotions are only made to certified high-net-worth investors, sophisticated investors, or those qualifying for appropriate exemptions. It explains the required disclosures, risk warnings, certification processes, and eligibility checks, offering real-world examples and templates to simplify compliance across digital, print, and event-based marketing channels.
Detailed checklists and sample templates for investor declarations, disclosure statements, and compliance record-keeping are included, making it easy for compliance officers and marketing teams to operationalise the rules. The guide also highlights common pitfalls when promoting NMMIs and explains how to apply a risk-based governance approach to protect the firm and ensure communications are not misleading or unfair.
A dedicated section outlines how NMMI promotion controls should integrate with wider governance structures, including financial promotions approval frameworks, training & competence (T&C) programmes, and Consumer Duty compliance, ensuring a consistent approach to customer protection and regulatory transparency.
This Microsoft Word guide is ideal for investment managers, private equity firms, EIS/VCT specialists, wealth managers, and compliance consultants. It is instantly downloadable and fully editable. It saves time while helping firms confidently promote non-Mass Market Investments in a compliant, customer-focused, and regulator-ready manner.