Financial Promotion

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Practice Notes

4 resources

	Title	Resource Type	Date
Practice Note: Overview
1	Financial promotion: overview An overview of the UK financial promotion regime under the Financial Services and Markets Act 2000. It includes a summary of the restrictions on financial promotion in the UK under FSMA; exemptions to those restrictions as set out in secondary legislation; and penalties for breaching the financial promotion restriction.	Practice Note: Overview	Maintained
2	Hot topics: Exchange traded funds (ETFs) An outline of the regulatory initiatives at an international, EU and UK level relating to exchange traded funds (ETFs). This note also tracks developments in this area, and sets out the milestones for future development. It includes a key primary source material table which contains links to key primary source material and related PLC Financial Services legal updates. It is not intended to be an exhaustive list of all relevant materials published by interested parties.	Practice Note: Overview	Maintained
Practice Notes
1	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
Checklists
1	Financial promotion by an unauthorised person: the questions ... A flowchart setting out the questions to ask to determine whether a communication by an unauthorised person requires approval by an authorised person under the UK financial promotion regime.	Checklists	Maintained

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