*NEW* Marketing of Financial Instruments and Regulatory Requirements

Description

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.

Learning objectives:

  • Analyzing marketing requirements for regulated entities under the current regulatory regimeReview updates on marketing requirements for regulated entities
  • Improving understanding of practical implications of regulatory requirements
  • Demonstrate systems for effective control over marketing communications and implementation challenges

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.

Topics

Definition of marketing and Key concepts 

Communications to Clients 

What marketing and communications to clients

  • Cyprus Investment Law
  • CySEC Circulars
  • ESMA Guidelines

  • Call monitoring and Evaluation
  • Approval of written communications
  • Digital Marketing Review 

In-depth analysis of examples of misleading practises taken from CySEC guidelines, fines, examples and personal experience

  •  Demonstrate how systems discussed, techniques analysed and regulatory requirements can be implemented in the context of the atteendees business model
  • Implementation challenges 
  •  Q&A 

Summary

Region

Nicosia

Course dates

Dec 18 - Dec 18, 2019

Class hours

08:30 - 15:10

Subsidy

HRDA Approved

Training certificate

Human Resource Development Authority of Cyprus (HRDA)

Level

2

Mode of study

full-time

Method of instruction

classroom

Educational material

printed

Laptop

not required

Course Instructors

Chrysostomos Kalos
Financial Services Professional

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Demetris Hadjiossif
CEO of Globia Wealth

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Course Locations

Locations:

  • Semeli Hotel, Petraki Giallourou 10, 1077, Nicosia, Cyprus

For more info call us on:

22398000

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Quick and Easy Registration

''Empowering Professionals''

Unemployed

0

Payment: JCC

For more information

22398000
info@ipe.com.cy
28 seats remaining
Self employed

226.10

Payment: JCC

Discount Policies
Participants
1st -15.00% 192.19€

For more information

22398000
info@ipe.com.cy
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Company

226.10

Payment: JCC

Discount Policies
Participants
1st -0.00% 131.10€
2nd -10.00% 108.49€
3rd - 10th -15.00% 97.19€

For more information

22398000
info@ipe.com.cy
28 seats remaining

Registration is also available via Telephone 22398000

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