Financial Promotions

We will review your company's financial promotions to ensure compliance with financial promotion regulations and guidelines set forth by the Advertising Standards Authority.

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ServicesCompliance Advisory | Financial Promotions

What are Financial Promotions requirements?

In its strategic planning, the Financial Services Regulatory Authority (FSRA) emphasizes the importance of effective oversight of firms in their communication and approval of financial promotions as a key activity.

The FSRA guidelines define a financial promotion as an 'invitation or inducement to engage in investment activity'. For firms, this encompasses any communications aimed at promoting their brand, products, or services to persuade customers to make a purchase. All financial promotions must adhere to being fair, clear, and not misleading.

The scope of Financial Promotions requirements includes:

  • Web content
  • Email marketing
  • Social media
  • Advertisements on print, online platforms, television, and radio
  • Marketing brochures and literature
  • Direct mail
  • Sales aids, such as presentations

How we can support you

With extensive experience in conducting financial promotions reviews, we are ideally positioned to assure firms they are complying with regulatory standards.

Our service includes a comprehensive review of your website and all pertinent promotional materials, such as emails and advertisements, to ensure they align with FSRA and, where applicable, Advertising Standards Agency (ASA) standards and guidelines. Upon completion, you will receive a detailed report highlighting any areas of non-compliance, along with recommended modifications to facilitate compliance enhancement.