Ελληνικά 
English
LIVE ONLINE WEBINAR - Financial Promotions, Appropriateness and Product Governance
- Χρηματοοικ. Ασφαλιστικά Τραπεζικά
Αγγλικά
10.00 ώρες
(
4 μέρες
)
ΠΕΡΙΓΡΑΦΗ
The EIMF Live Online Learning Experience
EIMF subject-matter experts deliver engaging and interactive courses across a broad spectrum of areas, that can be enjoyed in the comfort of your own chosen environment
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. That directive and its subordinate legislation create a common financial promotions regime for Europe. This in turn has created a common industry involved in trying to reconcile compliance rules designed for a static advertising world with the demands of modern media.
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.
This course looks at promotions under MiFID of all kinds, not just from the financial services compliance viewpoint but also advertising standards and good marketing. Adam always brings to courses examples of good, bad and sometimes dangerous promotions. He also likes looking at websites of participants’ competitors and various digital media channels to see what works and what does not. The course will also cover the process of carrying out product governance, the structures that businesses need to have in place to meet the regulators’ objectives.
ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ
- apply the rules contained in MiFID 2 and Article 44 of MiFID Org Regulation to all types promotions
- appreciate the role played in advertising by the Cyprus Advertising Regulation Organization’s Code, ordinary law and good taste
- identify an image advert or non-promotional communication
- disclose risks involved in investments
- understand the core systems and controls and risk management needed for financial promotions
- identify the key elements of product governance work and the MiFID rules on the subject
- decide when to carry out an appropriateness test
- determine how to carry out an appropriateness test
- deal with negative or incomplete results of such a test
ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ
The programme will benefit those who need to know and understand the Product Governance, Suitability Assessment and Independent vs Non-Independent Investment Advice framework and will be of particular benefit to:
- Product Development Staff and Technical specialists involved in product development
- Compliance Officers and Staff
- Sales, Marketing and Business Development Executives and Staff
- Customer Relations and Customer Service Staff
- Risk Managers
- Internal Lawyers
- External Lawyers
- Financial Consultants
- Any person who provides investment services
ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ
Training Outline
Introduction
- Materials covered
- Definition of a promotion
- MiFID Principles
- Article 44 rules on financial promotions
- Examples of the law, good taste, internal procedures and the application of the Advertising Code away from MiFID
MiFID 2 and Article 44
- Image adverts
- Fair, clear and not misleading
- Disclosure generally and risks
- CFD risk warnings
- Meaning of prominence
- Comparisons, pricing claims and tax
- Past, simulated and future performance
Digital media
- Particular promotional issues with social media
- Search engine optimisation
- Websites
- Disclosing how to complain
- Other internet issues as requested
- Dealing with customer reactions online including identifying complaints
Product governance basics
- Identification of the target market
- Designing products
- Stress testing
- Determining distribution methods
- Supplying material to intermediaries and customers
- Ongoing review
Governance and systems for financial promotions, digital media and product governance
- Governance
- Risk management
- Records
- Product management information
Appropriateness
- When appropriateness testing is required
- Meaning of non-advised and products covered
- Questioning and methods
- Risk warnings and their impact on whether to accept business
- Record-keeping
Training Style
This programme consists of an interactive presentation of the relevant rules and good practice with questions and comments to and from the participants, interrupted by a large number of practical examples, including views of historic and current promotions and customer interactions with firms on social media.
Trainer
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 a financial, mortgage and equity release adviser 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.
Πληροφορίες Εκπαιδευτή
Adam Samuel - Lawyer & Independent Financial Services Professional
Αναλυτικό Κόστος Σεμιναρίου
Για Δικαιούχους ΑνΑΔ
- € 420.00
- € 170.00
- € 79.80
- € 250.00
- € 297.50
Για μη-Δικαιούχους ΑνΑΔ
- € 420.00
- € 0.00
- € 79.80
- € 420.00
- € 499.80
ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ
Δευτέρα - 18 Οκτ 2021
Ώρα
10:00 - 12:45
ΕΚΠΑΙΔΕΥΤΗΣ:
Adam SamuelΤοποθεσία:
OnLine Virtual Classroom
Πέμπτη - 21 Οκτ 2021
Ώρα
10:00 - 12:45
ΕΚΠΑΙΔΕΥΤΗΣ:
Adam SamuelΤοποθεσία:
OnLine Virtual Classroom
Δευτέρα - 08 Νοε 2021
Ώρα
10:00 - 12:45
ΕΚΠΑΙΔΕΥΤΗΣ:
Adam SamuelΤοποθεσία:
OnLine Virtual Classroom
Παρασκευή - 12 Νοε 2021
Ώρα
10:00 - 12:45
ΕΚΠΑΙΔΕΥΤΗΣ:
Adam SamuelΤοποθεσία:
OnLine Virtual Classroom
Εκδήλωση Ενδιαφέροντος : LIVE ONLINE WEBINAR - Financial Promotions, Appropriateness and Product Governance
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31/01/2025 08:13
Αγγλικά
eLearning
CySEC 20 CPD Bundle 6...
The course includes: Best Execution Overview AIF – Alternative Investment Funds Understanding Securities Financing Transaction Regulation – SFTR Fin...
31/01/2025 08:13
Αγγλικά
eLearning
Anti-Money Laundering for Law Firms...
Reduce risk and safeguard your business. Created in partnership with industry experts, our training is designed to develop the right behaviours and deliver bett...
31/01/2025 08:13
Αγγλικά
eLearning
CISI International Introduction to Investment...
Description The International Introduction to Investment offers a broad introduction to the financial services professional sector, with a specific focus on ...
31/01/2025 08:13
Αγγλικά
eLearning
CySEC AML Certification Examination Practice and Mock Exams...
Description A set of 4 full Mock & Revision Exams in English for the latest CySEC AML Certification Examination Syllabus. ...
31/01/2025 08:13
Αγγλικά
eLearning
Corporate Governance for Financial Institutions...
The concept/term Corporate Governance has featured regularly in discussions, both within the professional and academic community, since the 1990s and has become...
31/01/2025 08:13
Αγγλικά
eLearning
Compliance Introduction...
A firm needs to establish, implement and maintain adequate policies and procedures sufficient to ensure compliance of the firm (covering its managers, employees...
31/01/2025 08:13
Αγγλικά
eLearning
CySEC 15 CPD Bundle 3...
The course includes: Market Abuse and Regulation Treating Customers Fairly and Handling Complaints in the Financial Services Sector ...
31/01/2025 08:13
Αγγλικά
eLearning
CySEC 10 CPD Bundle 7...
The course includes: International Economic Sanctions Know your Client (KYC) and Customer Due Diligence (CDD) Training Duration ...
31/01/2025 08:13
Αγγλικά
eLearning
European Market Infrastructure Regulation (EMIR) Overview...
Description This course offers a comprehensive overview of the EMIR. It addresses the EMIR requirements, the types of counterparties and the clearing obligat...
31/01/2025 08:13
Αγγλικά
eLearning
Compliance Monitoring and Testing...
This course explores what to consider when building a compliant Compliance Monitoring programme and how to effectively deliver reports. It considers the FCA’s r...
31/01/2025 08:13
Αγγλικά
eLearning
Governance, Risk Management and Compliance (4 CPD Units)...
The self-based online training programme provides the participants with a broad range of areas addressed in a Governance, Risk and Compliance (GRC) model. Parti...
31/01/2025 08:13
Αγγλικά
eLearning
AIFM - Alternative Investment Fund Managers...
Description This course offers a comprehensive introduction to the Alternative Investment Fund Managers (AIFM). It addresses the application of the AIFM Law,...
31/01/2025 08:13
Αγγλικά
eLearning
Fundamentals of Investment and Finance...
Description This course offers a general review of the financial services sector, with a specific focus on investments from a global perspective. The focus o...
31/01/2025 08:13
Αγγλικά
eLearning
Certificate in KYC and CDD...
KYC/CDD is a critical element for effectively managing the risks posed by potential clients (thus protecting the organization against criminals, terrorists, and...
31/01/2025 08:13
Αγγλικά
eLearning
CySEC Advanced Examination Practice and Mock Exams...
Description A set of 6 full Mock & Revision Exams in English for the latest CySEC Advanced Examination Syllabus. ...
31/01/2025 08:13
Αγγλικά
eLearning
Anti-Money Laundering (AML) for Legal Professionals and DNFBPs...
Designated Non-Financial Businesses and Professionals must have in place and implement procedures in order to identity a person (KYC) and also exercise an inves...
31/01/2025 08:13
Αγγλικά
eLearning
Advanced Anti-Money Laundering for Financial Institutions...
An intermediate level course designed both for those in an AML or compliance roles and those looking to embark on a new career in AML. You will gain actionable,...
31/01/2025 08:13
Αγγλικά
eLearning