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 FCA 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.

Financial Promotions Manual (Mortgage Brokers)

This manual is specifically aimed at Mortgage and Equity Release Brokers who are looking to advertise their business.  The manual includes a procedure on which the firm should follow.  It also contains guidance on how to advertise and produce stationery compliantly by providing tips on what should and should not be included.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

Financial Promotions Manual (General Insurance Brokers)

This manual is specifically aimed at Insurance Brokers who are looking to advertise their business.  The manual includes a procedure on which the firm should follow.  It also contains guidance on how to advertise and produce stationery compliantly by providing tips on what should and should not be included.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

New Media Guidance Bundle

We are often asked how to produce compliant promotions on social media.  Therefore, we have produced a few simple guides on the main social media sites to assist firms.  This guidance can also be used in conjunction with other social media sites.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

Financial Promotions Register and Stationery Template Bundle

Designing compliant stationery isn’t as easy as it sounds, which is why we produced examples that firms can use as a template for their own.  Whether you are producing a letterhead, compliment slip, business card or email disclaimer, there are certain rules that you need to follow.  Not only should your stationery meet the Financial Conduct Authority rules, but also Companies House, if you are a limited company.  For guidance on what should be included we suggest you refer to our Financial Promotions Manual.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

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