This course is in English.
The marketing of financial instruments and investment services has become a crucial issue in the past few years, especially from the perspective of European regulators. The issue of mis-selling of financial instruments and investment services has become an all too familiar story prompting regulators to seek enhanced investor protection rules, amongst them stricter marketing rules and requirements. Misrepresentation of the risks associated and potential reward of a product or service, insertion of language that must appear in marketing materials, minimum presentation requirements of performance or projection data are only some of the detailed rules which were adopted at European and national level. Regulated entities are expected to develop procedures and controls to monitor, assess and evaluate their marketing and promotion of products and services whilst also an emphasis on taking responsibility for the actions of third parties and associates engaged in these activities is placed by regulators. This seminar will review the regulatory requirements imposed on authorised entities regarding the marketing and communications towards clients, elaborate on systems and controls that can be adopted by regulated entities to meet regulator’s expectations and discuss implementation of such procedures.
The course is addressed to
Professionals involved in marketing and selling of CIF products and services, directors of CIFs, compliance officers and internal auditors of CIFs should attend.
Definition of marketing and Key concepts
Communications to Clients
In-depth analysis of examples of misleading practises taken from CySEC guidelines, fines, examples and personal experience
Mode of study
Method of instruction
Chrysostomos Kalos is the the Head of Dealing department in a CIF and is serving as an Independent Non-Executive Director and Supervisory Board Member in Investment Firms. He is also a Lecturer / Tutor at UNICAF University where he is teaching Business and Management courses to MBA online students.
Chrysostomos is a BBA and MBA degree holder, a certified HRDA trainer, a certified Mediator from the Ministry of Justice and a holder of Financial Services Legal Framework (Advanced Level) Certification issued by Cyprus Securities and Exchange Commission.
Demetris Hadjiossif is the CEO of Globia Wealth. He is a financial services professional with a legal background and a specialization in the field of Compliance. Demetris holds an LLB and LLM from the University of Aberdeen and is a holder of the Financial Services Legal Framework (Advanced Level) Certification issued by the Cyprus Securities and Exchange Commission. Throughout his career he has been involved with investment firms ranging from AIFMs and portfolio managers to online trading providers.
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