Investment Promotions must be Identifiable as Such
Length: 9 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.3 Guide – Promotions Identifiable as Such
Get a fully editable COBS 4.3 – Promotions Identifiable as Such Guide, designed to help firms meet the FCA’s transparency requirements under the Conduct of Business Sourcebook (COBS). This targeted compliance guide focuses on ensuring that all financial promotions are clearly recognisable as promotional material, particularly in cases where marketing is blended with educational, informative, or editorial content.
The document offers a practical breakdown of COBS 4.3.1R, clarifying when and how a communication must be identified as a financial promotion—especially across web content, social media, blogs, newsletters, and sponsored content. It provides examples of both compliant and non-compliant practices, highlighting how disclaimers, labelling, and presentation influence whether a customer perceives a message as promotional in nature.
Firms are guided through creating internal approval procedures, setting out brand transparency standards, and integrating marketing governance protocols that align with both COBS 4 and the Consumer Duty’s requirement for clear and honest communications. Key topics include appropriate placement of disclaimers, visual presentation, prominence of risk warnings, and maintaining separation between editorial and promotional content.
The guide also includes tools for internal training and compliance sign-off, helping marketing teams and compliance officers work collaboratively to reduce the risk of regulatory breaches. It supports the development of content review checklists, audit trails, and policy frameworks that ensure all promotions, regardless of format, can withstand scrutiny from both the FCA and clients.
Ideal for investment firms, wealth managers, marketing teams, compliance professionals, and financial advisers, this Microsoft Word document is instantly downloadable and fully editable. It saves time while enhancing transparency, reinforcing brand trust, and ensuring your communications are not only effective—but fully compliant with FCA standards.
Length: 9 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.3 Guide – Promotions Identifiable as Such
Get a fully editable COBS 4.3 – Promotions Identifiable as Such Guide, designed to help firms meet the FCA’s transparency requirements under the Conduct of Business Sourcebook (COBS). This targeted compliance guide focuses on ensuring that all financial promotions are clearly recognisable as promotional material, particularly in cases where marketing is blended with educational, informative, or editorial content.
The document offers a practical breakdown of COBS 4.3.1R, clarifying when and how a communication must be identified as a financial promotion—especially across web content, social media, blogs, newsletters, and sponsored content. It provides examples of both compliant and non-compliant practices, highlighting how disclaimers, labelling, and presentation influence whether a customer perceives a message as promotional in nature.
Firms are guided through creating internal approval procedures, setting out brand transparency standards, and integrating marketing governance protocols that align with both COBS 4 and the Consumer Duty’s requirement for clear and honest communications. Key topics include appropriate placement of disclaimers, visual presentation, prominence of risk warnings, and maintaining separation between editorial and promotional content.
The guide also includes tools for internal training and compliance sign-off, helping marketing teams and compliance officers work collaboratively to reduce the risk of regulatory breaches. It supports the development of content review checklists, audit trails, and policy frameworks that ensure all promotions, regardless of format, can withstand scrutiny from both the FCA and clients.
Ideal for investment firms, wealth managers, marketing teams, compliance professionals, and financial advisers, this Microsoft Word document is instantly downloadable and fully editable. It saves time while enhancing transparency, reinforcing brand trust, and ensuring your communications are not only effective—but fully compliant with FCA standards.
Length: 9 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.3 Guide – Promotions Identifiable as Such
Get a fully editable COBS 4.3 – Promotions Identifiable as Such Guide, designed to help firms meet the FCA’s transparency requirements under the Conduct of Business Sourcebook (COBS). This targeted compliance guide focuses on ensuring that all financial promotions are clearly recognisable as promotional material, particularly in cases where marketing is blended with educational, informative, or editorial content.
The document offers a practical breakdown of COBS 4.3.1R, clarifying when and how a communication must be identified as a financial promotion—especially across web content, social media, blogs, newsletters, and sponsored content. It provides examples of both compliant and non-compliant practices, highlighting how disclaimers, labelling, and presentation influence whether a customer perceives a message as promotional in nature.
Firms are guided through creating internal approval procedures, setting out brand transparency standards, and integrating marketing governance protocols that align with both COBS 4 and the Consumer Duty’s requirement for clear and honest communications. Key topics include appropriate placement of disclaimers, visual presentation, prominence of risk warnings, and maintaining separation between editorial and promotional content.
The guide also includes tools for internal training and compliance sign-off, helping marketing teams and compliance officers work collaboratively to reduce the risk of regulatory breaches. It supports the development of content review checklists, audit trails, and policy frameworks that ensure all promotions, regardless of format, can withstand scrutiny from both the FCA and clients.
Ideal for investment firms, wealth managers, marketing teams, compliance professionals, and financial advisers, this Microsoft Word document is instantly downloadable and fully editable. It saves time while enhancing transparency, reinforcing brand trust, and ensuring your communications are not only effective—but fully compliant with FCA standards.