Financial Promotion
This part of the topic index contains resources on financial promotion. Please select the resource that you require by clicking on the relevant tab below.
3
resources
These resources are maintained, meaning that we monitor developments on a regular
basis and update them as soon as possible.
| 1 | FSMA overview An overview of the Financial Services and Markets Act 2000 (FSMA). | Practice note: overview | Maintained |
| 2 | FSA and European Commission 2007-2008 post ... This practice note outlines the FSA's post-implementation review of the new conduct of business sourcebook (COBS) which was introduced in November 2007, and which included rules implementing the Markets in Financial Instruments Directive (2004/39/EC) (MiFID). It relates to the work of the FSA at that time and does not reflect later regulatory developments. The note also outlines the European Commission's work to identify MiFID transposition and implementation issues in the period following implementation of MiFID. This note does not cover the Commission's review of the impact and effectiveness of MiFID which started in 2010. For information on the MiFID review, see Practice note, Hot topics: MiFID II. | Practice notes | Maintained |
| 3 | Selling debt securities: UK selling restrictions An overview of some of the restrictions that apply to offering and trading transferable securities, and the market practice on offering bonds in the UK. This note was previously called UK selling restrictions: debt securities. | Practice notes | Maintained |