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.
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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This course is advertised on reed.co.uk by the Course Provider, whose terms and conditions apply. Purchases are made directly from the Course Provider, and as such, content and materials are supplied by the Course Provider directly. Reed is acting as agent and not reseller in relation to this course. Reed's only responsibility is to facilitate your payment for the course. It is your responsibility to review and agree to the Course Provider's terms and conditions and satisfy yourself as to the suitability of the course you intend to purchase. Reed will not have any responsibility for the content of the course and/or associated materials.