Writing

Financial Promotions

• Complaints
• Treating Customers Fairly
• Financial Promotions
• Financial Advice and the Sales Process
• Banking
• General Insurance
• Financial Crime, Inducements, Market Abuse and Money Laundering
• Investment Management and Wholesale
• Approved Persons
• Corporate Management
• Regulation Generally
• Ethics
• Pensions Review
• Four Compliance Tips 2012-2015
• Other Topics and Older Pieces

If you would like to obtain any of the following publications please contact Adam.

For a complete list of all articles on Financial Promotions please download the pdf

"FCA PS19/18 - Contracts for Differences ", Compliance Resource Network, 23 July 2019

"The LCF regulatory quagmire ", Compliance Monitor, 4 June 2019

"The FCA's two Dear CEO letters on financial promotions and the LCF ghost ", Compliance Resource Network, 29 April 2019

"Whatever became of financial promotions rules? ", Compliance Monitor, 10 March 2017

"The Supreme Court�s definition of a collective investment scheme � just what the FCA wanted", Compliance Resource Network, 27 April 2016

"Compliance Tip of the Week: Behind most problems relating to financial promotions lie faults in the way in which the product being promoted was constructed", Money Marketing, 24 July 2014

"Compliance tip of the week: Keep within the financial promotions rules", Money Marketing, Analysis, 12 June 2014

“Two pieces of Finalised Guidance on Financial Promotions”, Compliance Resource Network, 11 April 2012

FSA's guidance consultations on prominence in financial promotions", Compliance Resource Network 20 July 2011

"'Clear', 'fair' and new media ", Compliance Monitor December 2010/January 2011

"SRLV fines and prohibition orders — beware of money laundering and integrity issues involved in helping boiler rooms"-, Complinet 17 December 2010

"Two more post-Fox Hayes tribunal decisions on approving financial promotions", Complinet, 19 May 2010