European Institute of Management and Finance | Marketing of Investment Products
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Marketing of Investment Products

Marketing and Selling of Investment Products and Unfair Commercial Practices: a Regulatory Overview (CPD)

Introduction

 

Marketing of investment products becomes an increasingly complex area for financial providers. Financial instruments sold to the public and admitted to trading on a regulated market or other trading venues are strictly regulated at European and national level in order to avoid mis-selling risk on the part of providers and excessive risk-taking on the part of investors. Poor presentation of the risks and payoff profile of the product, retail clients’ lack of familiarity with the financial instrument because of the underlying assets used, language that must appear in marketing materials are certain only of the areas for which detailed rules were adopted at European and national level.

 

Marketing, defined as the presentation of a financial instrument through different means (advertising, direct marketing, placement, advice, etc.) may be realised by an investment services provider, a financial investment adviser, or a direct marketer of investment services with a view to encouraging a client to buy that instrument.

 

Depending on the category of the investor (retail, professional, eligible counterparty) and on the category of financial instrument (complex or non-complex), the relevant capital markets law differentiates in a substantive way. Furthermore, apart from the capital markets law, consumer protection law also applies to retail investors, such as unfair commercial practices legislation.

What you will Learn

This course aims to enable participants to achieve the following objectives

 

  • The systematic review of the relevant capital markets and consumer protection legislation requirements with respect to the marketing of complex and non-complex investment products, including the assessment of suitability and appropriateness test.
  • The examination of the relevant case law and of specific case studies
  • Acquisition of special knowledge on the legislative requirements in the field of marketing of investment products
  • Ability in addressing practical problems and related risks based also on the jurisprudence (case studies)
  • Acquisition of an educational profile harmonized with the specified certificate standards applicable to the capital markets personnel.
  • Knowledge efficiency and readiness based on the relevant certification requirements as applicable under the financial regulations.

DATE: 08, 09 March

DURATION: 10 Hours

LOCATION: CMS Training Center, Limassol

TIME: 14:00-19:30

FEES: HRDA eligible €180, non-HRDA eligible €350 (both + €66.50VAT)

Registration Form

Download Registration Form

You can register by sending the completed registration form above to info@eimf.eu or via fax to 2227 4475. If you need help completing the form, please give us a call at 2227 4470

In-House Training

If you would like to discuss bringing this or another topic to your organization on an in-house basis please call us at 22274470 or email us at info@eimf.eu.

Trainer: 

Yiannos Ashiotis

A seasoned trainer, Yiannos has been putting his diverse international business experience in good use by helping organizations achieve their targets by empowering their people through energetic, value adding training programs.

Yiannos has developed and conducted professional training seminars with emphasis on accounting, finance, management, regulation as well as a variety of business topics to corporate audiences in many countries including Poland, Hungary, Greece, Cyprus, Kuwait, Oman, Qatar, Bahrain, Saudi Arabia, Dubai, Egypt, Abu Dhabi etc.

During his career Yiannos has held various managerial and executive positions in a number of multinational companies in Europe and the Middle East in a variety of industries.

He was involved in diverse activities ranging from business development to operations and executive management. He structured complex investment funds, lead organizational change, and implemented regulatory programs across international organizations.

Yiannos holds non–‐executive directorships in a number of financial services organizations and is a member of many international professional bodies. He is currently the Managing Director of Intelion Partners, a boutique firm focusing on management, financial, and investment firm/fund advisory and consulting.