Compliance in Marketing and Promoting of Financial Products

European Institute of Management and Finance


£65 inc VAT
Study method
Online, self-paced
4 Hours
No formal qualification
Additional info
  • Certificate of completion available and is included in the price

1 student purchased this course

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Marketing compliance standards protect consumers so that they are not lied to, tricked or misled by businesses. The important role of regulation and the role of competent authorities significantly contribute to the protection of consumers and investors in financial services. In this course we take a first look into what the various jurisdictions do in order to protect consumers from misleading advertising and communication. In this course, we will learn about the role and importance of the compliance function in general, within Investment firms and within the Banking Institutions. We shall also examine the compliance function together with ethics. Compliance is following the law, while ethics is doing what is right regardless of what the law says.

Course media


This course covers 4 Modules, and each module consists of:

1) 15 Minute Video Presentation

Each video includes detailed moving graphics, bullet points, graphs, and informative visual and auditory cues that help participants along the way. Furthermore, you can download the script along with all important graphics on a PDF on that page, as shown above. Videos can be expanded into full screen, paused, resumed, and continued at a later stage.

2) Case study

After each video, participants will read a real case (links will be provided to the actual article or legal case for each study) that is relevant to the video just watched.

3) Short Quiz

Each of the 4 quizzes consist of 5 multiple choice questions, relevant to the case study and/or the video of each module. Each quiz is available for 4 attempts.

Who is this course for?

Compliance and legal professionals within financial institutions, advertisers for financial firms, risk managers and team leaders.

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