Communicating Investment Performance under MiFID
Length: 30 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.6 Guide – Communicating Investment Performance under MiFID
Get a fully editable COBS 4.6 – Investment Performance Communications Guide, tailored to help investment firms meet the strict rules under MiFID II when referencing past, simulated past, and future performance in financial promotions. This in-depth guide provides a rule-by-rule breakdown of the FCA’s expectations under COBS 4.6.1R–4.6.8G, with clear, actionable steps to ensure all performance-related messaging is fair, balanced, and not misleading.
The guide covers core principles for presenting historical data, hypothetical modelling, and forecasted returns, including how to format and contextualise these figures for retail and professional clients. It addresses mandatory disclosures, such as period requirements, net-of-fee performance, benchmark comparisons, and risk factors, helping firms avoid the compliance risks associated with selective or misleading performance messaging.
Each section provides real-world examples, template disclosures, and detailed commentary on the dos and don’ts of presenting investment performance in different media, such as factsheets, websites, social media, and client presentations. The guide also outlines internal review procedures, including compliance checks for clarity, comparability, and consistency, as required by both MiFID II and the Consumer Duty.
The guide includes tools for pre-approval workflows, staff training, risk identification, and post-distribution audit trails to support implementation. It also explains how performance communications fit into broader product governance and financial promotions policies, enabling firms to create joined-up compliance systems that align with FCA supervision expectations.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for asset managers, discretionary fund managers (DFMs), investment advisers, and compliance professionals. It saves significant time and provides your firm with a robust, practical framework for ensuring all performance-related financial promotions meet FCA standards and support informed client decision-making.
Length: 30 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.6 Guide – Communicating Investment Performance under MiFID
Get a fully editable COBS 4.6 – Investment Performance Communications Guide, tailored to help investment firms meet the strict rules under MiFID II when referencing past, simulated past, and future performance in financial promotions. This in-depth guide provides a rule-by-rule breakdown of the FCA’s expectations under COBS 4.6.1R–4.6.8G, with clear, actionable steps to ensure all performance-related messaging is fair, balanced, and not misleading.
The guide covers core principles for presenting historical data, hypothetical modelling, and forecasted returns, including how to format and contextualise these figures for retail and professional clients. It addresses mandatory disclosures, such as period requirements, net-of-fee performance, benchmark comparisons, and risk factors, helping firms avoid the compliance risks associated with selective or misleading performance messaging.
Each section provides real-world examples, template disclosures, and detailed commentary on the dos and don’ts of presenting investment performance in different media, such as factsheets, websites, social media, and client presentations. The guide also outlines internal review procedures, including compliance checks for clarity, comparability, and consistency, as required by both MiFID II and the Consumer Duty.
The guide includes tools for pre-approval workflows, staff training, risk identification, and post-distribution audit trails to support implementation. It also explains how performance communications fit into broader product governance and financial promotions policies, enabling firms to create joined-up compliance systems that align with FCA supervision expectations.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for asset managers, discretionary fund managers (DFMs), investment advisers, and compliance professionals. It saves significant time and provides your firm with a robust, practical framework for ensuring all performance-related financial promotions meet FCA standards and support informed client decision-making.
Length: 30 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.6 Guide – Communicating Investment Performance under MiFID
Get a fully editable COBS 4.6 – Investment Performance Communications Guide, tailored to help investment firms meet the strict rules under MiFID II when referencing past, simulated past, and future performance in financial promotions. This in-depth guide provides a rule-by-rule breakdown of the FCA’s expectations under COBS 4.6.1R–4.6.8G, with clear, actionable steps to ensure all performance-related messaging is fair, balanced, and not misleading.
The guide covers core principles for presenting historical data, hypothetical modelling, and forecasted returns, including how to format and contextualise these figures for retail and professional clients. It addresses mandatory disclosures, such as period requirements, net-of-fee performance, benchmark comparisons, and risk factors, helping firms avoid the compliance risks associated with selective or misleading performance messaging.
Each section provides real-world examples, template disclosures, and detailed commentary on the dos and don’ts of presenting investment performance in different media, such as factsheets, websites, social media, and client presentations. The guide also outlines internal review procedures, including compliance checks for clarity, comparability, and consistency, as required by both MiFID II and the Consumer Duty.
The guide includes tools for pre-approval workflows, staff training, risk identification, and post-distribution audit trails to support implementation. It also explains how performance communications fit into broader product governance and financial promotions policies, enabling firms to create joined-up compliance systems that align with FCA supervision expectations.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for asset managers, discretionary fund managers (DFMs), investment advisers, and compliance professionals. It saves significant time and provides your firm with a robust, practical framework for ensuring all performance-related financial promotions meet FCA standards and support informed client decision-making.