White Paper – Compliance guide to Financial Promotions
The Compliance Guide to Financial Promotions
A Financial Promotion is an “invitation or inducement to engage in investment activity”. In the context of any firm, this means anything that promotes the brand, products or anything that invites or attempts to persuade customers to buy the products marketed. This means that almost all communications and marketing material issued by a firm and its Appointed Representatives or introducers will be financial promotions, including communications to brokers.
This free white paper covers what constitutes a Financial Promotion and what is a ‘Real-Time’ or ‘Non-Real Time’ Financial Promotion, amongst many other things.
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