Direct Offer Investment Financial Promotions
Length: 21 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.7 Guide – Direct Offer Financial Promotions
Get a fully editable COBS 4.7 – Direct Offer Financial Promotions Guide, designed to help investment firms meet the FCA’s stringent requirements when promoting financial products that include a direct means of response—such as application forms or digital sign-up links. This guide unpacks the COBS 4.7.1R–4.7.12G rules, providing practical and regulatory-aligned guidance for crafting compliant direct offers that are fair, clear, and not misleading.
The guide covers all core elements required for a compliant Direct Offer Financial Promotion (DOFP), including risk disclosures, information clarity, customer categorisation, and timing of information delivery. It also explores exceptions and specific requirements for execution-only business, non-advised sales, and retail vs. professional clients, providing detailed commentary and examples to support effective implementation across platforms and channels.
Practical tools, such as template disclosures, pre-approval checklists, and illustrative examples showing how firms should handle issues like non-MiFID communications, non-readily realisable securities, and distance selling rules, are included throughout. This makes the guide especially valuable for firms looking to improve the clarity and fairness of their acquisition journeys and onboarding flows.
It also provides recommendations for internal governance structures, including compliance sign-off processes, documentation retention, training points, and audit trail suggestions. The guide reinforces alignment with wider regulatory obligations under SYSC, PRIN, and the Consumer Duty, particularly around avoiding foreseeable harm and ensuring customers understand what they’re buying.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for investment firms, platforms, Ifas, fintech, and compliance teams. It saves time, enhances regulatory readiness, and helps firms confidently deliver compliant direct offer promotions—whether via digital, print, or hybrid marketing channels.
Length: 21 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.7 Guide – Direct Offer Financial Promotions
Get a fully editable COBS 4.7 – Direct Offer Financial Promotions Guide, designed to help investment firms meet the FCA’s stringent requirements when promoting financial products that include a direct means of response—such as application forms or digital sign-up links. This guide unpacks the COBS 4.7.1R–4.7.12G rules, providing practical and regulatory-aligned guidance for crafting compliant direct offers that are fair, clear, and not misleading.
The guide covers all core elements required for a compliant Direct Offer Financial Promotion (DOFP), including risk disclosures, information clarity, customer categorisation, and timing of information delivery. It also explores exceptions and specific requirements for execution-only business, non-advised sales, and retail vs. professional clients, providing detailed commentary and examples to support effective implementation across platforms and channels.
Practical tools, such as template disclosures, pre-approval checklists, and illustrative examples showing how firms should handle issues like non-MiFID communications, non-readily realisable securities, and distance selling rules, are included throughout. This makes the guide especially valuable for firms looking to improve the clarity and fairness of their acquisition journeys and onboarding flows.
It also provides recommendations for internal governance structures, including compliance sign-off processes, documentation retention, training points, and audit trail suggestions. The guide reinforces alignment with wider regulatory obligations under SYSC, PRIN, and the Consumer Duty, particularly around avoiding foreseeable harm and ensuring customers understand what they’re buying.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for investment firms, platforms, Ifas, fintech, and compliance teams. It saves time, enhances regulatory readiness, and helps firms confidently deliver compliant direct offer promotions—whether via digital, print, or hybrid marketing channels.
Length: 21 Pages
Applies to: Investment Firms
Fully Customisable COBS 4.7 Guide – Direct Offer Financial Promotions
Get a fully editable COBS 4.7 – Direct Offer Financial Promotions Guide, designed to help investment firms meet the FCA’s stringent requirements when promoting financial products that include a direct means of response—such as application forms or digital sign-up links. This guide unpacks the COBS 4.7.1R–4.7.12G rules, providing practical and regulatory-aligned guidance for crafting compliant direct offers that are fair, clear, and not misleading.
The guide covers all core elements required for a compliant Direct Offer Financial Promotion (DOFP), including risk disclosures, information clarity, customer categorisation, and timing of information delivery. It also explores exceptions and specific requirements for execution-only business, non-advised sales, and retail vs. professional clients, providing detailed commentary and examples to support effective implementation across platforms and channels.
Practical tools, such as template disclosures, pre-approval checklists, and illustrative examples showing how firms should handle issues like non-MiFID communications, non-readily realisable securities, and distance selling rules, are included throughout. This makes the guide especially valuable for firms looking to improve the clarity and fairness of their acquisition journeys and onboarding flows.
It also provides recommendations for internal governance structures, including compliance sign-off processes, documentation retention, training points, and audit trail suggestions. The guide reinforces alignment with wider regulatory obligations under SYSC, PRIN, and the Consumer Duty, particularly around avoiding foreseeable harm and ensuring customers understand what they’re buying.
This Microsoft Word guide is instantly downloadable and fully editable. It is ideal for investment firms, platforms, Ifas, fintech, and compliance teams. It saves time, enhances regulatory readiness, and helps firms confidently deliver compliant direct offer promotions—whether via digital, print, or hybrid marketing channels.
