WealthTechTalks: Marketing & Selling Financial Products with Compliance Embedded

Presented by

Stephen Wall, Co-Founder, The Wealth Mosaic

About this talk

The marketing and sale of financial products is a highly regulated discipline and knowing whether something is allowed is a complex, but critical, area of the wealth management industry. From a variety of angles, for instance, setting up a marketing campaign, distributing product materials, offering investment products to a client, preparing a product proposal and more, there are layers of complexity and risk. In this live webinar, we will host an engaging discussion with participants in the UK wealth management sector to consider the various complexities of compliance when selling financial products. heads of marketing, heads of sales, relationship managers, portfolio managers, distribution managers and others can navigate the complexities and risks and create compliant product and service materials faster than ever. With embedding the regulatory requirements directly into the marketing and sales teams’ processes, the webinar will consider both the general challenges and risks various users face in these areas, as well as looking at several use cases including: 1. Creating compliant product and service materials faster than ever 2. Only displaying the allowed financial services and investment products according to a user/visitors' specific information 3. The marketing and distribution of investment funds globally and compliantly 4. Considering the role of technology and ‘embedded compliance’ in this journey

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