White Paper – Compliance guide to Financial Promotions

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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.


To download the white paper, please fill in the required (*) fields below. We do not sell or give any details to third parties.




Enable is Perivan’s distribution & brand management platform. It is used by organisations like St. James’s Place and Octopus Investments to automate marketing materials’ creation, personalisation and approval. Configurable workflows ensure all content is compliant and approved by the correct people before being used. An audit trail is automatically captured to ensure you comply with FCA regulations.


To learn more about our marketing solutions, please get in touch.

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