Financial Promotions, Appropriateness and Product Governance

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April 6, 2021 10:00 am
April 15, 2021 12:45 pm
Live Online   View map
CPD Units
10 hrs
HRDA eligible €250, Non-HRDA eligible €420 (both + €79.80 VAT)

HRDA is a subsidy provided to companies registered in Cyprus that meet specific criteria. More Information


Tuesday 06/04/2021 - 10:00-12:45

Thursday 08/04/2021 - 10:00-12:45

Tuesday 13/04/2021 - 10:00-12:45

Thursday 15/04/2021 - 10:00-12:45

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Course Overview


Everyone wants to know how to put their product or service out in front of future customers in a multi-channel world. It is also a world where the European Securities and Markets Authority and CySEC have already intervened in a significant way to dictate the forms of marketing allowed in the Contracts for Differences market. Marketing regulation is not confined to financial services regulators. The Cyprus Advertising Regulatory Organization (CARO) has its own rules. All of these regimes are modelled around the “fair, clear and not misleading” found in MiFID 2. That directive and its subordinate legislation create a common financial promotions regime for Europe. This in turn has created a common industry involved in trying to reconcile compliance rules designed for a static advertising world with the demands of modern media.


Product governance is probably the most important new subject area for financial services professionals in the EU. It finally entered the regulatory vocabulary at European level with the implementation of MiFID 2, closely followed by that of the Insurance Distribution Directive’s own provisions on the subject.  ESMA has already intervened in the marketing and promotion to retail customers of binary options and contracts for differences and Cyprus has responded to the ending of the ESMA measures by implementing its own intervention in September 2019.


This course looks at promotions under MiFID of all kinds, not just from the financial services compliance viewpoint but also advertising standards and good marketing. Adam always brings to courses examples of good, bad and sometimes dangerous promotions. He also likes looking at websites of participants’ competitors and various digital media channels to see what works and what does not. The course will also cover the process of carrying out product governance, the structures that businesses need to have in place to meet the regulators’ objectives.



Adam Samuel

Adam Samuel is a lawyer qualified in the UK and the USA. Since 1996, 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 financial, mortgage and equity release advisers 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.
See all courses by Adam Samuel