Training Objectives

By the end of this seminar, participants will:

• Understand the regulatory framework governing financial promotions under MiFID II, CySEC Directives, and EU standards.
• Learn how to identify and avoid misleading, unfair, or aggressive marketing practices.
• Understand the criteria for balanced risk disclosures and clear presentation of product benefits and limitations.
• Learn to assess real-world examples of compliant vs. non-compliant promotions.
• Understand how to integrate product governance, suitability, and appropriateness considerations into marketing strategies.
• Learn to implement internal approval and monitoring processes for marketing communications.
• Understand how ethical marketing fosters investor protection and strengthens corporate reputation.

Training Outline

Introduction to Marketing & Compliance

• Purpose and importance of compliant marketing
• Key regulatory expectations in Cyprus and the EU
• Overview of CySEC Circulars and enforcement trends

Regulatory Framework & Standards

• MiFID II requirements for financial promotions
• CySEC directives and guidance on advertising practices
• ESMA principles for investor protection and transparency

Misleading vs. Compliant Marketing

• Common pitfalls: omissions, exaggerations, aggressive claims
• Case studies of enforcement actions by regulators
• Group exercise: spotting misleading promotions

Building Integrity into Marketing Practices

• Balancing risk and reward in client communications
• Ethical compliance mindset vs. check-box mentality
• Protecting vulnerable clients through clear disclosures

Product Governance, Suitability & Appropriateness

• Linking marketing with product governance frameworks
• Incorporating suitability and appropriateness in promotional material
• Examples of compliant product presentation (incl. PRIIPs KID references)

Internal Processes & Controls

• Designing approval workflows for marketing materials
• Role of compliance, legal, and management in sign-off
• Monitoring and audit of promotions for ongoing compliance

Practical Application

• Group exercise: redesigning a marketing communication to meet compliance standards
• Best practices and takeaways for daily application

Who Should Attend

This seminar is ideal for:

• Chief Marketing Officers and Marketing Managers in financial institutions
• Compliance Officers and AMLCOs overseeing promotional activities
• Risk Managers and Internal Auditors monitoring communication practices
• Legal & Regulatory Affairs Professionals involved in approval processes
• Board Members and C-Level Executives accountable for firm-wide compliance culture

Training Style

The programme combines short lectures, interactive discussions, and real-life case studies from Cyprus, EU, and global markets. Participants will engage in group exercises to identify risks and redesign marketing material, ensuring they gain both regulatory insight and practical skills to apply immediately in their roles.

CPD Recognition

This programme may be approved for up to 6 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

In-house Training

For groups within the same organisation, this course may be customized to meet any specific needs and delivered in-house.