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Home > Insights > Webinars > compliance,  FCA,  risk management,  financial promotions

Financial Promotions under Scrutiny in a Global Market

ON DEMAND

In recent years, we’ve seen the FCA increase its scrutiny around financial promotions.  There is increasing focus on misleading claims, clarity of risk warnings, the role of digital channels, as well as the risk posed by appointed representatives. 

Aside from reputational damage, non-compliant promotions can trigger enforcement action, financial penalties, and personal accountability for senior executives. Firms need to stay on the right side of the rules.  

Scroll down to read the full agenda. 
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Discover how Ruleguard is helping firms navigate financial promotions regulation, from the UK Financial Promotions Gateway and oversight of Appointed Representatives to regional approaches. We’ll also uncover common challenges and how to overcome them.

Tune in to Ruleguard's on demand webinar, as we explore the following areas:

  • UK Financial Promotions Gateway
  • Principal firms’ responsibilities and oversight of Appointed Representatives
  • Regional approaches to financial promotions regulation
  • Common challenges

This event is designed for marketing teams, compliance practitioners and senior executives who wish to strengthen their financial promotions framework.  The session will also be of interest to Principal firms and appointed representative networks, as well as distribution chains.

Relevant Resources & Insights 

Effortless collaboration for compliant marketing
Navigate complex FCA rules and guidance with ease, ensuring your financial promotions are clear, fair, and not misleading. Discover how Ruleguard helps simplifies compliance across all media channels.

Learn more about Ruleguard's Financial Promotions Solution
 

Keep your staff close and your Appointed Representatives closer
Gain improved oversight of your appointed representatives and encourage high standards of conduct with Ruleguard's all-in-one compliance platform.

Learn more about Ruleguard's Appointed Representatives Solution


Stronger Oversight. Smarter Promotions.
Stay in control of your appointed representatives and ensure every financial promotion meets FCA standards with one seamless solution.

Speakers

Priscilla Gaudoin

Priscilla Gaudoin

Head of Risk & Compliance

Priscilla is a former consultant, CCO and MLRO, experienced in providing regulatory oversight and advice to firms across the financial services industry. She is responsible for our thought leadership programme, writing regular articles and white papers, and hosting webinars on a variety of regulatory matters.

Her dual role also encompasses the oversight of risk management at Ruleguard.

She is a Fellow of the International Compliance Association, a certified GRC practitioner, and a member of the Institute of Risk Management.

Matthew Bruce

Matthew Bruce

Platform Director

Matthew is our Platform Director and leads the development roadmap for the Ruleguard platform.  He has 15+ years of experience in software development and has worked on Ruleguard since its launch.​

Matthew plays a key role in delivering a programme of features and improvements that continue to delight users and deliver tangible business value. He’s passionate about product management that balances strategic and tactical objectives.