FinProm Pro Service Offering
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Financial Promotion Reviews
Get comprehensive reviews of your financial promotions. We’ll provide a full accounting of rule breaches, guidance and recommendations to put things right. Leave it to the professional, leave it to The FinProm Pro.
Adhoc Service
You’ll even get the FinProm Pro Seal of Approval to confirm your financial promotion is compliant.
Retainer Service
Need our service on a one-off basis? Perhaps you’ve got an existing or proposed social media advertisement or website that needs to be reviewed? If so, our Adhoc Service is for you.
If you are publishing financial promotions on a frequent basis, you’ll benefit from the FinProm Pro Retainer Package. We can review an agreed number of financial promotions over a defined time period or remain available for you as and when required.
Regulator Responses
The Financial Conduct Authority is armed and ready to intervene. Authorised firms that do not comply with the relevant Rules and Guidance may be scrutinised. The FCA may contact you, ask numerous questions, impose requirements and expect you to respond and act within tight timeframes. If you get one response, it’s also likely you’ll have to respond to more! It is so important to correspond with the regulator in a timely and transparent way. More importantly, you’ll need to ensure that you alleviate all concerns in a competent, concise and robust way. You don’t want to open a can of worms!
Adhoc Service
Retainer Service
Need us to help you manage and satisfy one or more regulator response(s)? Our Adhoc Service is for you.
Contact us now and we’ll get to work immediately! Time is of the essence!
Our Retainer Service can cover an array of different services including Regulator Responses. We’ll remain available to you in case the need to deal with the regulator arises and we’ll resolve the matter.
Advice and Guidance
Get advice on the FCA’s Financial Promotion Rules and Guidance that is presented in an understandable and practical way. Navigating and interpreting the FCA’s Rules and Guidance can be tricky at the best of times. We’ll educate and inform and keep you up-to-date and in the know.
Adhoc Service
Retainer Service
Looking for documented advice that you can rely on? Having difficulty with the FCA’s Rules and Guidance? Whatever the query, The FinProm Pro can help. We’ll do the research, evidence our advice and present it all in a comprehensible way.
You might want to rely on us to be available as and when required and need ongoing advice and guidance. Speak to us about a Retainer Service that will be tailored to your needs, requirements and resources.
Affiliate Monitoring
Are you using affiliate-marketers to market your services as an FCA-regulated firm? What oversight do you have of their activities? How do you know they aren’t creating and publishing financial promotions about your service without your knowledge and approval (a criminal offence)? What if they are and the financial promotions are non-compliant? You’d be surprised how often this happens, especially if they have to meet targets and performance standards.
You and your affiliates can find yourself in hot water with the regulator very quickly. There is considerable reputational and regulatory risk to your company if you don’t employ adequate systems and controls to keep your affiliates in line.
Adhoc Service
Retainer Service
Want The FinProm Pro to conduct a one-off scan of your affiliate’s activities to find out if they are toeing the line? We’ll find your affiliates’ advertisements, review them and issue a Compliance and Risk Report.
We’ll conduct periodic monitoring and scan publicly available advertising sources to ascertain whether your affiliates are acting in your best interests. We’ll issue Compliance and Risk Report at agreed intervals to keep you in the know.
Competitor Monitoring
You should be keeping a watchful eye on your competitors’ financial promotions. It isn’t fair when you’re competing with non-compliant advertising practices which could cost you business! We’ll save you valuable time and monitor competitors’ financial promotions so you don’t have to. If we find non-compliant financial promotions, we’ll report them to FCA and even the playing field.
Adhoc Service
Retainer Service
Need The FinProm Pro to scope out the competitions’ financial promotions on a one-time basis? Our Adhoc Service is for you. We’ll investigate and produce a report for you that details number of identified financial promotions and competitors we’ve reported to the FCA.
Need us to keep the pressure on your competitors on an ongoing basis? We’ll track them down in a relentless pursuit and ensure you can compete fairly! We’ll issue periodic reports to highlight the number of identified advertisements and competitors that we’ve reported to the FCA.
Find out more about reporting financial promotions.
Horizon Scanning
The FCA is constantly making changes and is frequently publishing consultations, issuing Finalised Guidance, Policy Statements, rule updates, modifications and more. You need to be in the know so you can stay ahead of the curve. We’ve always got an eye on the horizon and will keep you updated, informed and guide you through proposed and actual changes to ensure you don’t fall behind.
Our Retainer Service is the best option if you are seeking remain consistently informed about changes that could affect your business. We’ve got our ears to the ground and will promptly identify news that you need to know. It’s good to have someone around who is looking out for you.
Financial Promotion Gateway Application
From 7 February 2024, authorised firms that approve financial promotions for unauthorised firms will need to apply for authorisation from the FCA unless an exemption applies. This is known as the ‘Approver Permission’. As always, there a fees associated with FCA Applications. For this kind of application, the FCA’s fee is £5,000.
Adhoc Service
The FinProm Pro has a wealth of experience successfully securing authorisations for an array of different firms. We’ll work with you to draft and collate the information you need to apply for authorisation and will advise as the best court of action. We’ll get it done quickly and to the FCA’s expectations. When the application has been submitted we’ll remain available assist with any FCA’s questions and secure your authorisation.
Find out more about Financial Promotion Authorisations. Application Guidance. Policy Statement.
Can’t find what you’re looking for? Contact us to find out more about how we can help. We offer more than the advertised services and don’t solely focus on financial promotions!
Frequently Asked Questions
What’s your pricing?
Pricing varies depending on your circumstances and the services that you require. For example, if you’d like a website to be reviewed, it will depend on the number of pages, the nature of your regulated activities and so on. If you have a single landing page or social media financial promotion, the fees will be less than larger projects. Contact us now to discuss your needs in more detail.
When does payment need to be made?
Once the invoice has been sent to you, payments need to be made within 5 calendar days. Payment must be made before services are concluded.
What payment methods are available?
Payments can be made by direct debit (GoCardless), online debt and credit card payments (Stripe) or bank transfer. If you would like to explore alternative payment methods, please ask.
Contact Us
We’ll get in touch with you as soon as possible. You can also email us!
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