COBS - Client Communications and Financial Promotions
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20 Minutes -
For all staff
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UK
COBS applies to UK firms dealing with client investments, and its rules govern client communications and financial promotions. This 20-minute course helps staff appreciate the requirement to be fair, clear and not misleading, recognise the rules for presenting investment performance, and understand the rules covering cold calling and other unsolicited approaches.
Financial promotion breaches affect every recipient of the material, which makes them expensive to remediate and highly visible. Performance presentation is where firms most often overstep, usually through selective periods or unclear assumptions. Training the marketing, product and approval staff who produce this material catches errors before publication rather than after a supervisory review or a customer complaint.
What you’ll learn in
this course
- Appreciate the need to be fair, clear and not misleading
- Recognise the rules for presenting investment performance
- Know the rules for cold calling and non-written promotions
- Understand the systems and control requirements
- Identify and apply the record-keeping requirements
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
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