Sales Compliance and Techniques for Investment Firms

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

May 28, 2021 9:00 am
May 28, 2021 2:45 pm
25 Megaron Street, 2032 Strovolos, Nicosia, Cyprus   View map
CPD Units
5 hrs
€180 + VAT


Friday 28/05/2021 - 09:00-14:45

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Event Details


The programme offers professionals the opportunity to examine specific approach of handling client communication relating to financial products and services in the compliant manner. The programme will focus on the proper provision of information, including marketing and communication through sales and retention representatives.



Training Objectives


This course aims to assist professionals (in particularly those whose primary function is within the Sales and Marketing environment) in understanding the regulatory framework they must operate in and develop a self-understanding as to the allowed sales techniques. As such, participants will:



  • Learn how to implement the current legislation’s values within their marketing and sales approach
  • Understand how the required compliance, and marketing and sales come together in the promotion and sales of products to be in line with the latest regulations
  • Consider the updated regulatory framework



  • Examine the challenges and explore the solutions that ensure compliancy within the industry
  • Develop a successful sales pitch that both complies with law requirements while at the same time maintains profitability for the business


Marek Bota

Marek Bota is a professional with many years of experience and an established career in the financial sector. He has held a variety of positions in several Cyprus Investment Firms. These positions, which include Executive Director, Compliance Officer and Head of Reception and Transition of Orders and which placed him at the forefront of clients’ needs, all gave him the tools and skills needed to gain a widespread insight into the field. During his long-standing career, he has expanded his knowledge of the Cypriot and European Legal, Regulatory and Compliance requirements on capital markets. Marek holds a BA in Management and Economics of Aero Tourism and has recently obtained a Master of Laws (LLM) from Cardiff Metropolitan University. He has also attained the CISI Financial Services Legal Framework certificate, as well as the CISI Financial Services Regulatory Framework certificate, and is an associate of the Chartered Institute of Securities and Investments.
See all courses by Marek Bota