Financial Promotions
If you don’t asses the contents of financial promotions or monitor them to ensure compliance, your clients may receive unfair, unclear and misleading financial information. This increases the potential for complaints against your firm and could lead to costly remedial actions or regulatory discipline in the future.
Compliance Solutions will review your advert/written article, mail-shots etc, prior to issue and provide feedback as well as any suggested amendments to ensure your ad/promotion meets all the necessary regulatory requirements.
We're ready to help
Our specialist compliance services can make all the difference to your business. To discuss the options, or to arrange a meeting, simply call +852 2576 6211 - or contact one of our consultants contact a member of our staff