Financial Promotions

Financial promotions cover a wide range of material including stationery, shop fronts, faxes, leaflets, newspaper advertisements, website, TV and radio commercials.  Before you communicate or approve a promotion, you must confirm it complies with the rules.  This exercise must be carried out by someone with appropriate expertise to do so and then recorded in a log.

The FSA specify certain rules and requirements in relation to the way in which firms promote themselves and the services that they offer.  These include high-level requirements for material to be clear, fair and not misleading (Principle 7). Failure to meet the rules could result in enforcement action being taken against your firm.

It is worth ensuring your promotions are compliant as the results could be detrimental against your firm.  The following documents provide you with the guidance you need to produce compliant promotions and stationery.