Regulators around the world have struggled to improve the accuracy, clarity and fairness of financial advertising. In one sense, marketing and compliance as subjects do not fit. One is dynamic and seeks new media and ideas all the time while the other lays down almost universal standards into which marketeers have to fit their ideas. This course tries to bridge the gap, drawing on practical examples where things have not always gone as well as they might have done. The core rules here are in MiFID 1 and its Implementing Directive, soon to be replaced if largely reproduced in MiFID 2. We will look also at how some regulators have approach digital media and some of the issues to which it gives rise.
Who should attend:
Marketing, Compliance, Risk Management, Management, and Technical. People involved in the task of promoting financial products and in need to understand the different roles and responsibilities, as well as their regulatory constraints.
DATE: 22 May
DURATION: 5 Hours
CPD UNITS: 5
LOCATION: EIMF Premises, Nicosia
TIME: 09:00 – 14:30
FEES: €220 + VAT
|Start Date||Course Title||Location||CPD Units||Status|
|23 April||Market Abuse – A comprehensive guide||Limassol||5||UPCOMING|
|24 April||Transaction Reporting||Limassol||5||UPCOMING|
|17 May||Packed Retail and Insurance-based Investment Products||Nicosia||UPCOMING|
|18 May||Corporate Governance of Credit Institutions and Investment Firms pursuant to the EU regulatory framework||Nicosia||6||UPCOMING|
|19 May||AML 4th Directive||Nicosia||6||UPCOMING|
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Instructor: Adam Samuel
Adam Samuel is a lawyer qualified in the UK and the USA. For the last 21 years, Adam has run his own training and consulting business, helping out regulators in three continents on customer-facing issues. He has the qualifications required of a financial, mortgage and equity release adviser and the UK CISI compliance diploma. Adam wrote the only book on consumer financial services complaint handling in the UK and a guide to the SFC Code for Intermediaries in Hong Kong. The Gibraltar Supreme Court followed his expert evidence in van Geens v. Jyske Bank on product risk, compliance and advice standards around the world. Adam has broadcast on a number of BBC domestic and World Service programmes, including the national news on financial services compliance and banking issues.