UCITS Promotions
Length: 12 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.12 Guide – Financial Promotions of UCITS
Get a fully editable COBS 4.12 – Financial Promotions of UCITS Guide, created to help firms promote Undertakings for Collective Investment in Transferable Securities (UCITS) in compliance with the FCA’s financial promotion rules and associated consumer protection requirements. This guide translates the technical standards around UCITS marketing into clear, practical steps that investment firms can integrate across their marketing, compliance, and client communication functions.
The guide details the specific requirements for promoting UCITS funds to retail clients, professional investors, and eligible counterparties. It explains mandatory standards around fair, clear, and not misleading communications, key investor information document (KIID) disclosures, risk statements, and the appropriate presentation of past and simulated past performance within UCITS promotional materials.
Included are checklists, templates, and examples for ensuring promotions contain all necessary disclosures, including guidance on fees and charges visibility, benchmark comparisons, and currency risk warnings. It also explains how to manage UCITS promotions across different platforms—such as websites, client factsheets, social media, and email marketing—while maintaining compliance with COBS and the broader Consumer Duty framework.
Special focus is given to governance over UCITS promotions post-Brexit, including considerations for promotions that may involve cross-border offerings or require local market compliance checks. It also ties the UCITS promotion regime to wider internal controls under SYSC, TCF, and product governance (PROD) obligations, helping firms establish a joined-up compliance process.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for investment managers, UCITS operators, wealth managers, platform providers, and compliance teams. It saves time and strengthens regulatory adherence, helping firms promote UCITS funds accurately, transparently, and responsibly—delivering good customer outcomes and reducing regulatory risk.
Length: 12 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.12 Guide – Financial Promotions of UCITS
Get a fully editable COBS 4.12 – Financial Promotions of UCITS Guide, created to help firms promote Undertakings for Collective Investment in Transferable Securities (UCITS) in compliance with the FCA’s financial promotion rules and associated consumer protection requirements. This guide translates the technical standards around UCITS marketing into clear, practical steps that investment firms can integrate across their marketing, compliance, and client communication functions.
The guide details the specific requirements for promoting UCITS funds to retail clients, professional investors, and eligible counterparties. It explains mandatory standards around fair, clear, and not misleading communications, key investor information document (KIID) disclosures, risk statements, and the appropriate presentation of past and simulated past performance within UCITS promotional materials.
Included are checklists, templates, and examples for ensuring promotions contain all necessary disclosures, including guidance on fees and charges visibility, benchmark comparisons, and currency risk warnings. It also explains how to manage UCITS promotions across different platforms—such as websites, client factsheets, social media, and email marketing—while maintaining compliance with COBS and the broader Consumer Duty framework.
Special focus is given to governance over UCITS promotions post-Brexit, including considerations for promotions that may involve cross-border offerings or require local market compliance checks. It also ties the UCITS promotion regime to wider internal controls under SYSC, TCF, and product governance (PROD) obligations, helping firms establish a joined-up compliance process.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for investment managers, UCITS operators, wealth managers, platform providers, and compliance teams. It saves time and strengthens regulatory adherence, helping firms promote UCITS funds accurately, transparently, and responsibly—delivering good customer outcomes and reducing regulatory risk.
Length: 12 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.12 Guide – Financial Promotions of UCITS
Get a fully editable COBS 4.12 – Financial Promotions of UCITS Guide, created to help firms promote Undertakings for Collective Investment in Transferable Securities (UCITS) in compliance with the FCA’s financial promotion rules and associated consumer protection requirements. This guide translates the technical standards around UCITS marketing into clear, practical steps that investment firms can integrate across their marketing, compliance, and client communication functions.
The guide details the specific requirements for promoting UCITS funds to retail clients, professional investors, and eligible counterparties. It explains mandatory standards around fair, clear, and not misleading communications, key investor information document (KIID) disclosures, risk statements, and the appropriate presentation of past and simulated past performance within UCITS promotional materials.
Included are checklists, templates, and examples for ensuring promotions contain all necessary disclosures, including guidance on fees and charges visibility, benchmark comparisons, and currency risk warnings. It also explains how to manage UCITS promotions across different platforms—such as websites, client factsheets, social media, and email marketing—while maintaining compliance with COBS and the broader Consumer Duty framework.
Special focus is given to governance over UCITS promotions post-Brexit, including considerations for promotions that may involve cross-border offerings or require local market compliance checks. It also ties the UCITS promotion regime to wider internal controls under SYSC, TCF, and product governance (PROD) obligations, helping firms establish a joined-up compliance process.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for investment managers, UCITS operators, wealth managers, platform providers, and compliance teams. It saves time and strengthens regulatory adherence, helping firms promote UCITS funds accurately, transparently, and responsibly—delivering good customer outcomes and reducing regulatory risk.
