Approving and Confirming Financial Promotion Compliance for Investment Firms
Length: 21 Pages
Applies to: Investment Firms
Buy Fully Customisable COBS 4 Guide – Approving & Confirming Compliance of Financial Promotions
Get a fully editable COBS 4 – Financial Promotions Approval Guide, designed to help firms meet FCA expectations around the approval, sign-off, and ongoing oversight of financial promotions under COBS 4.10, PRIN, and SYSC. This guide provides a complete framework for ensuring all communications—whether created in-house or by third parties—are compliant, clearly labelled, and subject to robust governance controls.
The document outlines regulatory obligations for firms that create, approve, or communicate financial promotions, detailing the required due diligence, risk assessments, and evidence-gathering procedures. It includes workflows for pre-approval processes, documentation standards, version control, and disclosure reviews, helping firms embed compliance within both operational and marketing functions.
The guide offers clear templates and prompts to help compliance teams assess promotions for fairness, clarity, balance, and appropriateness for the target audience. It also provides tools for identifying high-risk promotions, flagging non-compliant language, and escalating material to SMFs or Legal where required. Practical guidance is included on ensuring content remains compliant post-approval, especially for ongoing campaigns or evergreen materials.
A dedicated section covers the implications of Consumer Duty for promotions sign-off—ensuring that firms consider foreseeable harm, customer understanding, and value clarity before finalising any marketing content. It also addresses how firms can document their rationale for approval, support FCA enquiries, and implement an effective monitoring and review cycle.
Ideal for compliance officers, marketing approvers, financial promotions approvers (FPA SMFs), and regulated firms of all sizes, this Microsoft Word guide is instantly downloadable and fully editable. It saves time while ensuring your financial promotions are FCA-compliant, auditable, and designed with customer outcomes and regulatory risk firmly in mind.
Length: 21 Pages
Applies to: Investment Firms
Buy Fully Customisable COBS 4 Guide – Approving & Confirming Compliance of Financial Promotions
Get a fully editable COBS 4 – Financial Promotions Approval Guide, designed to help firms meet FCA expectations around the approval, sign-off, and ongoing oversight of financial promotions under COBS 4.10, PRIN, and SYSC. This guide provides a complete framework for ensuring all communications—whether created in-house or by third parties—are compliant, clearly labelled, and subject to robust governance controls.
The document outlines regulatory obligations for firms that create, approve, or communicate financial promotions, detailing the required due diligence, risk assessments, and evidence-gathering procedures. It includes workflows for pre-approval processes, documentation standards, version control, and disclosure reviews, helping firms embed compliance within both operational and marketing functions.
The guide offers clear templates and prompts to help compliance teams assess promotions for fairness, clarity, balance, and appropriateness for the target audience. It also provides tools for identifying high-risk promotions, flagging non-compliant language, and escalating material to SMFs or Legal where required. Practical guidance is included on ensuring content remains compliant post-approval, especially for ongoing campaigns or evergreen materials.
A dedicated section covers the implications of Consumer Duty for promotions sign-off—ensuring that firms consider foreseeable harm, customer understanding, and value clarity before finalising any marketing content. It also addresses how firms can document their rationale for approval, support FCA enquiries, and implement an effective monitoring and review cycle.
Ideal for compliance officers, marketing approvers, financial promotions approvers (FPA SMFs), and regulated firms of all sizes, this Microsoft Word guide is instantly downloadable and fully editable. It saves time while ensuring your financial promotions are FCA-compliant, auditable, and designed with customer outcomes and regulatory risk firmly in mind.
Length: 21 Pages
Applies to: Investment Firms
Buy Fully Customisable COBS 4 Guide – Approving & Confirming Compliance of Financial Promotions
Get a fully editable COBS 4 – Financial Promotions Approval Guide, designed to help firms meet FCA expectations around the approval, sign-off, and ongoing oversight of financial promotions under COBS 4.10, PRIN, and SYSC. This guide provides a complete framework for ensuring all communications—whether created in-house or by third parties—are compliant, clearly labelled, and subject to robust governance controls.
The document outlines regulatory obligations for firms that create, approve, or communicate financial promotions, detailing the required due diligence, risk assessments, and evidence-gathering procedures. It includes workflows for pre-approval processes, documentation standards, version control, and disclosure reviews, helping firms embed compliance within both operational and marketing functions.
The guide offers clear templates and prompts to help compliance teams assess promotions for fairness, clarity, balance, and appropriateness for the target audience. It also provides tools for identifying high-risk promotions, flagging non-compliant language, and escalating material to SMFs or Legal where required. Practical guidance is included on ensuring content remains compliant post-approval, especially for ongoing campaigns or evergreen materials.
A dedicated section covers the implications of Consumer Duty for promotions sign-off—ensuring that firms consider foreseeable harm, customer understanding, and value clarity before finalising any marketing content. It also addresses how firms can document their rationale for approval, support FCA enquiries, and implement an effective monitoring and review cycle.
Ideal for compliance officers, marketing approvers, financial promotions approvers (FPA SMFs), and regulated firms of all sizes, this Microsoft Word guide is instantly downloadable and fully editable. It saves time while ensuring your financial promotions are FCA-compliant, auditable, and designed with customer outcomes and regulatory risk firmly in mind.