COBS Client Communications & Financial Promotions - What the FCA Expects

Introduction

The FCA’s Handbook COBS Chapter 4 - Client Communications and Financial Promotions - contains a lot of information relating to the detail required in communications with retail clients.

Understanding the rules surrounding Client Communications and Financial Promotions, and how they relate to a firm, is an essential part of ensuring a business is healthy; the culture of a firm is on the right track, and its clients are being treated fairly.

This new virtual classroom seminar will cover everything a firm needs to know about COBS Chapter 4.

Everyone in a financial advice firm, particularly related to client relationships and transactions, will benefit from this webinar as we delve into the details of the Client Communications and Financial Promotions.

Understanding more about how fair, clear and not misleading communications should be, along with how best to analyse, create, evaluate and monitor a firm’s communications will provide a firm with a robust basis on which to evidence that it’s adhering to the rules, and working to improve the effectiveness of its business.

Learning about the Client Communications and Financial Promotions rules will help the firm develop knowledge, as well as further protect its customers.

Consumer Duty is focusing the industry further into evidencing that the regulated firm is doing all they can to act in the clients’ best interest - illustrating clear monitoring, analysis and evaluation of your firm’s processes is a key tool in the Duty.

The content of the session is suitable for FCA authorised companies (business owners, supervisors and managers of advisors, senior managers, ‘heads of’ and managers of compliance, internal audit, and risk), and those wanting to create best practice within their firm.

What You Will Learn

This live and interactive course will cover the following:

• Understanding the COBS Client Communications and Financial Promotions rules
• How to link the rules to your firm’s processes
• The importance of evidencing your understanding of the rules
• How to ensure that clients are treated fairly
• The ethos of Consumer Duty
• How to do the right thing by your clients and your business

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.