Writing
Financial Promotions
Complaints | Treating Customers Fairly | Financial Promotions |
Financial Advice and the Sales Process | Banking | General Insurance |
Mortgages | Market Abuse and Money Laundering | Investment Management and Wholesale |
Approved Persons | Corporate Management | Regulation Generally |
Ethics | Pensions Review |
Other Topics and Older Pieces
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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
"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
"Key features and simplified prospectuses: the FSA issues a plain English guide", Complinet 6 May 2009
"The Aspray final notice: of financial promotions, complaints and 'cooperation with the FSA'", Complinet 20 March 2009
"The FSA wins Fox Hayes in the Court of Appeal and creates a more rounded view of 'what is a promotion'", Complinet 19 February 2009
"Please describe the risks and asset mix of your fund accurately: Standard Life follows the AIG path", Complinet 27 January 2009
"Tribunal partially rebuffs FSA over Fox Hayes leave to appeal application", Complinet 3 June 2008
"Fox Hayes revisited", Complinet, 14 April 2008
"FSA reviews web sites and sponsored links", Complinet, 3 December 2007
"Fox Hayes tribunal decision and approving foreign promotions", Complinet 23 October 2007
"Principles-based Regulation, MiFID and the New Financial Promotion Rules", Compliance,
Officer Bulletin, September 2007
"Promotions do not reflect what the product delivers", Complinet 12 April 2007
"Streamlining financial promotions under NEWCOB", Compliance Monitor
December/January 2006/2007
"FSA clamps down on cost-saving insurance promotions", Complinet 19 January
2007
"Foresters Life fined for dire financial promotions", Complinet, 29 August 2006
