For Principal Firms
FCA-Compliant Marketing Workshops for Principal Firms
Create marketing and communications that meet FCA rules, cut approval time and work harder for your budget, whatever the size.
Support your appointed reps to get marketing and comms right from the start.
As a directly authorised, principal firm, you’re ultimately responsible for the marketing activity of your appointed reps. But when ARs aren’t clear on the rules, it can mean endless rewrites, unclear messaging and last-minute delays.
This practical FCA-Compliant Marketing Workshop gives your ARs the tools, guidance and confidence to create compliant, client-focused content that meet FCA expectations from the outset. This helps reduce your oversight load, streamline approvals and improve consistency and quality across the board.
Common problems
- ARs often create their own content, but aren’t always sure what’s allowed.
- Compliance teams are drawn into repeated reviews, rewrites and delays.
- Consumer Duty raises the bar for clarity, suitability and outcomes.
- You want to support your ARs but time and resources are limited.
The implications
When ARs lack clarity, marketing output can be inconsistent, non-compliant or ineffective, increasing your oversight requirements and delaying activity. It also risks:
- Slower approvals and campaign delays.
- Reduced impact.
- Increasing your firm’s exposure to regulatory risk.
For ARs, it can also mean missed opportunities, confusion and frustration when content gets sent back or held up at the sign-off stage.
How our workshop helps
Our half-day FCA-Compliant Marketing Workshop helps your ARs:
- Understand the key marketing compliance rules including financial promotion requirements and Consumer Duty expectations.
- Segment their audience and tailor content effectively (especially important under Consumer Duty and for Targeted Support).
- Create compliant, outcome-focused marketing from the start.
- Reduce reliance on compliance teams for rewrites.
- Build confidence in their marketing approach.
- And, ultimately make the most of their budget, however tight.
How it makes a difference
- Fewer reviews and revisions: When ARs know what’s expected, content improves from the start
- Less time spent on approvals: Stronger first drafts mean faster sign-off
- More consistent, compliant marketing and comms: Aligned to FCA rules and your firm’s standards
- Stronger oversight: Supports your responsibility as principal firm and provides evidence of Consumer Duty alignment
What’s covered
- Financial promotion rules: What ‘clear, fair and not misleading’ looks like in practice
- Consumer Duty: How to create content that supports understanding and good outcomes
- Planning compliant campaigns: From segmentation and messaging to execution
- Reviewing and improving content: Using checklists, tools and practical examples
What you get
- A practical, engaging session, led by Marie Wimlett, our Brand & Marketing Strategist, Chartered Marketer and former senior marketing lead at FSA (FCA), Prudential and Barclays.
- Marie breaks down the rules and shows how to apply them across all client-facing marketing and comms.
- Your ARs will leave with practical templates, examples and checklists they can use straight away.
Ready to make your ARs’ marketing and communications clearer and your approvals easier?
Let’s talk – 01223 782535 or you can email hello@wearemw.co.uk or book a call here