Financial Marketing Under MiFID II: Achieving Compliance with Confidence (C2526)
This live-online seminar empowers financial marketing professionals to confidently navigate MiFID II compliance. Learn how to craft effective, compliant campaigns that align with regulatory standards. Gain practical insights into promotion vs. advice, fair communication principles, and collaborative strategies with compliance teams.
Table of Contents
- About the Course
- Who Should Attend
- Key Learning Objectives
- Course Curriculum
- Meet the Trainer
- Fees & Registration Details
- FAQs – Frequently Asked Questions
- Other Upcoming Courses
About the Course
In today’s highly regulated financial landscape, creativity in marketing must walk hand-in-hand with compliance. MiFID II sets strict standards for how financial products and services can be promoted, and failure to comply can lead to reputational and legal risks. This seminar demystifies MiFID II requirements and shows marketing professionals how to thrive within these boundaries—not just follow them.
Through real-world examples, interactive discussions, and hands-on workshops, participants will learn to differentiate between financial promotion and investment advice, apply principles of fair and clear communication, and build processes that ensure marketing materials pass compliance reviews with fewer revisions.
Attendees will leave with the tools to create targeted, compliant, and engaging campaigns, and the confidence to work closely with compliance teams in fostering a culture of mutual understanding and operational efficiency.
Course Timetable
Who Should Attend
This seminar is ideal for professionals involved in the promotion of financial services and products, including:
- Marketing Managers and Executives in financial services
- Digital Marketers focusing on regulated financial content
- Compliance Officers supporting marketing and promotions
- Product Managers are involved in campaign design and messaging
- Communications Specialists in investment firms
- Legal and Regulatory Advisors for marketing teams
- Content Creators and Copywriters in the financial industry
- Business Development professionals in investment and banking services
- Training and HR professionals are responsible for compliance awareness
Key Learning Objectives
By the end of the seminar, participants will be able to:
Knowledge:
- Understand MiFID II marketing requirements and their strategic rationale.
- Identify key compliance areas, including the distinction between promotion and advice.
- Recognize the principles of fair, clear, and not misleading information in marketing materials.
- Understand ESG factors and how they apply to marketing and financial advice.
- Anticipate regulatory changes and prepare strategies to adapt effectively.
Skills:
- Develop compliant and effective marketing campaigns within the MiFID II framework.
- Create a self-review process for marketing materials to minimize compliance revisions.
- Enhance collaboration between marketing and compliance teams to streamline approval processes.
- Build marketing strategies that balance creativity with regulatory requirements.
- Conduct a target market assessment to ensure adherence to compliance obligations.
Attitudes:
- Foster a proactive compliance mindset within the marketing function.
- Value the importance of collaboration between marketing and compliance for smoother operations.
- Approach regulatory constraints as opportunities to improve campaign strategies.
- Cultivate a problem-solving attitude towards compliance challenges.
- Build confidence in developing marketing materials that are both compliant and creative.
Course Curriculum
Chapter 1 | Introduction and Overview
- Seminar objectives and expected outcomes
- Current challenges in financial marketing
Chapter 2 | MiFID II and Marketing Compliance
- Understanding the MiFID II regulatory framework
- Key compliance areas for marketing
- Principles of fair, clear, and not misleading information
Chapter 3 | Channel-Specific Guidelines
- Digital marketing compliance
- Traditional marketing requirements
- Case study and practical exercises
Chapter 4 | Promotion vs. Financial Advice
- Distinguishing between product promotion and investment advice
- Understanding appropriateness and suitability assessments
- Incorporating ESG factors in marketing and advice
Chapter 5 | Sales Process Compliance
- Advised and non-advised sales processes
- Target market assessment and obligations
- Ensuring appropriate disclosures
Chapter 6 | Organizational Requirements
- Internal controls and approval processes
- Record-keeping and communication monitoring
- Developing an efficient compliance review process
Chapter 7 | Staff Competence and Ethics
- Workshop: Creating compliant marketing materials
- Addressing common compliance challenges
- Group discussion and problem-solving exercises
Chapter 8 | Practical Application
- Workshop: Creating compliant marketing materials
- Addressing common compliance challenges
- Group discussion and problem-solving exercises
*This training program is designed to support continuing professional development (CPD). Participants are encouraged to verify with their professional body or regulatory authority whether the training meets their individual or institutional CPD requirements.
Meet the Trainer
Fees & Registration Details
FAQs – Frequently Asked Questions
Is this seminar eligible for 7 CPDs?
What are the key marketing compliance requirements under MiFID II?
How can marketing teams ensure their materials are MiFID II compliant?
What is the difference between financial promotion and investment advice under MiFID II?
Are digital marketing campaigns subject to MiFID II regulations?
This seminar may be approved for up to 7 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator, or other bodies in which you hold membership.
MiFID II mandates that all financial marketing communications be fair, clear, and not misleading. Firms must also distinguish clearly between general promotion and investment advice, and ensure that communications are appropriate for the identified target market.
Teams should implement a pre-approval process involving compliance reviews, apply a self-assessment checklist to every campaign, and train staff to understand the regulatory boundaries, particularly around suitability, risk disclosure, and ESG-related messaging.
Financial promotion refers to general communications about products, while investment advice includes personalized recommendations based on a client’s financial situation. Misclassification can lead to regulatory penalties.
Yes, all forms of communication—including social media, email, and websites—must comply with MiFID II. This includes ensuring accurate risk disclosures, appropriate targeting, and maintaining records of digital promotions.
