Frage  |
Antworten |
It is an offence for a person to communicate a financial promotion unless...? Lernen beginnen
|
|
the person is an authorised firm. Or the promotion has been approved by an authorised firm.
|
|
|
Communicating financial promotion exclusion example: other: Lernen beginnen
|
|
home reversion plan, | non-investment insurance contract | qualifying credit.
|
|
|
The purpose of the financial promotion rules is to ensure that promotions are...? Lernen beginnen
|
|
promotions are identified as such. and that they are fair not misleading.
|
|
|
Principle 6 – a firm must pay due regard to the... The financial promotion rules are consistent with Principles 6 and 7 Lernen beginnen
|
|
... the interests of its customers and treat them fairly. FCA's Principles for Businesses (PRIN)
|
|
|
Principle 7 - – a firm must pay due regard to the The financial promotion rules are consistent with Principles 6 and 7 Lernen beginnen
|
|
... information needs of its clients FCA's Principles for Businesses (PRIN)
|
|
|
The FCA can remove financial promotions immediately from the market without ...? Lernen beginnen
|
|
without FCA’s enforcement process.
|
|
|
Financial promotion FCA’s Enforcement Process essence: Lernen beginnen
|
|
FCA can require withdrawal of a financial promotion (a ban). Firms MAY CHALLENGE the decision before it is confirmed, amended, or revoked.
|
|
|
Financial promotions promotion, firms should make clear which product and services that involve... Lernen beginnen
|
|
... a risk of capital loss. also: If some activities are not regulated by the FCA, this must be made clear.| Packaged or stakeholder products not produced by the firm must be indicated.
|
|
|
Face-to-face meetings and telephone conversations. Promotions, what Methods of communication is it? Lernen beginnen
|
|
|
|
|
|
Promotions, what Methods of communication is it? Lernen beginnen
|
|
unsolicited real-time communications.
|
|
|
emails, letters or websites Promotions, what Methods of communication is it? Lernen beginnen
|
|
non-real-time communications.
|
|
|
promotions with the specified manner of responding. Promotions, what Methods of communication is it? Lernen beginnen
|
|
direct offer financial promotions
|
|
|
Anti-Greenwashing rule and guidance came into effect in 2024. They apply to...? Lernen beginnen
|
|
... to all regulated firms; when undertaking client communication, marketing. It covers all types of communication.
|
|
|
Anti-Green washing. FCA notes that Sustainability references should be...? 3 but provide even 1. Lernen beginnen
|
|
complete, correct and capable of being substantiated.
|
|
|
