Handling Client Complaints, Treating Customers Fairly, Product Governance, Financial Promotion and Appropriateness

For 3 registrations from the same entity, a standard 10% discount will apply. For over 4 registrations please contact us.

May 18, 2021 10:00 am
June 3, 2021 12:45 pm
Live Online   View map
CPD Units
15 hrs
HRDA eligible €265, Non-HRDA eligible €520 (both + €95 VAT)

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


Tuesday 18/05/2021 - 10:00-12:45

Thursday 20/05/2021 - 10:00-12:45

Tuesday 25/05/2021 - 10:00-12:45

Thursday 27/05/2021 - 10:00-12:45

Tuesday 01/06/2021 - 10:00-12:45

Thursday 03/06/2021 - 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.


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.


Much of the focus of MiFID 2, the Insurance Distribution Directive and other modern regulation is on the fair treatment of customers. The handling of complaints marks out financial institutions as being concerned about their customers and keen to improve their own standards generally. MiFID 2 was the first general EU financial services directive to take the subject seriously and lay down, through its MiFID Org Regulations, some Europe-wide complaint rules. Now, the ESMA/EBA guidelines apply to Cyprus complaint handling well beyond banking and the EIOPA guidelines deal with insurance cases.


The trainer, Adam Samuel is a UK-based complaints and compliance expert who has handled complaints for firms, consumers and briefly as an Ombudsman. He is the author of the only book on UK financial services complaint handling now in its second edition. He brings to our courses his experience and knowledge of the UK and the subject-area generally as well as an unquenchable enthusiasm for learning how the rest of Europe and in particular Cyprus handles things. He brings to every course a string of practical examples and welcomes people bringing along their case studies and examples.



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