The seminar focuses on the proper presentation and provision of information to clients in the form of marketing and communications through tied agents, affiliates, and representative offices, in order to be compliant with the regulatory expectations. The seminar will provide practical assistance on how to properly communicate with clients.
By the end of the programme, participants will be able to:
- Apply regulatory requirements, with regards to marketing communication, in practice
- Distinguish the difference between the varying forms of communication
- Learn how to review and approve marketing materials
- Apply proper monitoring techniques
- Understand how to communicate with clients through tied agent, affiliate and representative office
Provision of Information to Clients and Potential Clients
- General Requirements
- Legislative Requirements
Marketing Materials and Its Approval
Communication with Clients Through
- Tied Agent
- Representative Office
Investment Advice and Investment Research
The course clarifies the regulatory requirements regarding the provision of information to clients or prospective clients regarding investment and ancillary services.
It assists Investment Firms and any involved party to meet their obligations in order to act in the best interest of the client.
This programme may be approved for up to 5 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.
Professionals requiring CPD units to meet the education requirements for CySEC licence renewal, and/or for maintaining other professional memberships/certifications which accept CPD in Financial Regulation, are advised to consider training subjects in categories that indicate CPD training in Financial Regulation.
Who Should Attend
- Compliance officers
- Sales Agent
- Customer Support Representative
- Retention Officer
- Other front facing staff who are involved in the provision of information and/or marketing communication to clients or potential clients as per CySEC Circular C181
- Internal Audit
- Marketing Managers and Officers