Compliance in Marketing and Promoting of Financial Products

European Institute of Management and Finance


£65 inc VAT
Or £21.67/mo. for 3 months... Read more
Study method
Online, self-paced
4 Hours
No formal qualification
Additional info
  • Certificate of completion available and is included in the price

2 students 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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What does study method mean?

Study method describes the format in which the course will be delivered. At courses are delivered in a number of ways, including online courses, where the course content can be accessed online remotely, and classroom courses, where courses are delivered in person at a classroom venue.

What are CPD hours/points?

CPD stands for Continuing Professional Development. If you work in certain professions or for certain companies, your employer may require you to complete a number of CPD hours or points, per year. You can find a range of CPD courses on, many of which can be completed online.

What is a ‘regulated qualification’?

A regulated qualification is delivered by a learning institution which is regulated by a government body. In England, the government body which regulates courses is Ofqual. Ofqual regulated qualifications sit on the Regulated Qualifications Framework (RQF), which can help students understand how different qualifications in different fields compare to each other. The framework also helps students to understand what qualifications they need to progress towards a higher learning goal, such as a university degree or equivalent higher education award.

What is an ‘endorsed’ course?

An endorsed course is a skills based course which has been checked over and approved by an independent awarding body. Endorsed courses are not regulated so do not result in a qualification - however, the student can usually purchase a certificate showing the awarding body’s logo if they wish. Certain awarding bodies - such as ABC Awards and TQUK - have developed endorsement schemes as a way to help students select the best skills based courses for them.


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