Module

Regulation, compliance and checks

Covers the regulatory perimeter, promotion rules, and compliance checks for fund marketing.

4 lessons • 600 XP available

Lessons

1
Decoding the regulatory perimeter for fund marketing

Decode the regulatory perimeter governing fund marketing.

+150 XP
2
Financial promotion rules for performance and risk claims

Apply financial promotion rules to performance and risk claims.

+150 XP
3
Applying Consumer Duty and fair-treatment tests

Apply Consumer Duty and fair-treatment tests.

+150 XP
4
Running the pre-launch marketing compliance sign-off

Run the pre-launch marketing compliance sign-off.

+150 XP