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Financial Promotions training

Seven microlessons on UK financial promotions: what counts as a promotion, the FCA rules, direct offers, social media, records and enforcement, with situational tests and a certificate of completion.

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Financial Promotions (UK) course preview
7Short, TikTok-style microlessonsIn the browser or the iOS and Android apps

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  • 2Assessments
  • 7Microlessons
  • IncludedCertificate of completion
About this course

What the Financial Promotions course covers

This course covers how the FCA regulates financial promotions in seven short microlessons. It explains what counts as a promotion, the key FCA rules and principles, real-time and non-real-time communications, direct offer requirements, social media risks, record-keeping and enforcement, so teams can create communications that are clear, fair and not misleading.

Learning outcomes

What your people will be able to do

  • Decide when a communication counts as a financial promotion
  • Apply the FCA requirement for promotions to be clear, fair and not misleading
  • Design compliant direct offer financial promotions with prominent risk warnings
  • Manage promotions across social media and digital channels
  • Keep approval records that show a promotion was compliant
  • Identify enforcement risks and put internal controls in place
Course contents

7 microlessons

Each microlesson is a short, TikTok-style video lesson, with knowledge checks along the way.

1What Counts as a Financial Promotion
2FCA Rules & Key Principles
3Types of Financial Promotions
4Direct Offer Financial Promotions (DOFPs)
5Social Media Promotions & Digital Channels
6Recordkeeping & Evidence of Compliance
7Enforcement, Breaches & FCA Powers

  1. What Counts as a Financial Promotion: When a communication counts as a financial promotion.
  2. FCA Rules & Key Principles: The FCA rules, including clear, fair and not misleading.
  3. Types of Financial Promotions: Real-time and non-real-time communications, and how they differ.
  4. Direct Offer Financial Promotions (DOFPs): Direct offer requirements, risk warnings and records.
  5. Social Media Promotions & Digital Channels: Promotions on social media and digital channels, and their risks.
  6. Recordkeeping & Evidence of Compliance: Approval records that show a promotion was compliant.
  7. Enforcement, Breaches & FCA Powers: FCA enforcement powers and how to prevent breaches.
A 5Mins certificate of completion for Financial Promotions (UK), lying on a desk next to a laptop
Certificate

A certificate for every learner who completes it

Learners finish every microlesson and complete the assessments. 5Mins then issues a certificate of completion for Financial Promotions (UK).

  • Certificates and e-signatures stored against each learner
  • Audit-ready records, ready whenever an auditor asks
  • Completion shows on the Compliance Dashboard in real time
Audience and regulation

Who it's for and the law it covers

Who it's for

  • Marketing, content and social media teams in financial services
  • Compliance teams who approve financial promotions
  • Sales and product teams who write customer communications
  • Fintechs and payment firms promoting to consumers

Laws covered

  • Financial Services and Markets Act 2000, section 21. The financial promotion restriction: promotions must be made or approved by an authorized person, unless an exemption applies.
  • FCA Conduct of Business Sourcebook (COBS 4). The FCA's rules for communicating with clients, including financial promotions.
  • FCA Consumer Duty (PRIN 2A). Includes the consumer understanding outcome.
How it runs in 5Mins

Assign it once, then let 5Mins do the chasing

Every course in the 5Mins library runs on the same zero-admin engine.

  • EnrollAuto-enroll

    Enroll people automatically from your HR system, with 100+ HRIS platforms supported.

  • RemindReminders

    Nudges by email, Slack, Microsoft Teams and push until the course is done.

  • RepeatRecurrence

    Set the course to repeat, for example every 12 months, and 5Mins re-enrolls people for you.

  • CertifyCertificates

    Certificates and e-signatures are issued and stored for every completion.

  • ProveAudit-ready records

    See who is complete, at risk or overdue on the Compliance Dashboard, and prove it any time.

Customer stories

Compliance teams that swapped chasing for results

Compliance, HR and L&D leaders on what changed when they moved their training to 5Mins. Pick a team to see what changed.

ComplianceCompliance Training Insurance, 205 colleagues 100%

compliance completion and pass rate since go-live

  • ~1 day saved on each compliance course (HR estimate)
  • Automated reminders and reporting

Since go-live, our compliance completion and pass rates are 100%, and it's the quickest we've ever got there. Automated reminders and reporting save us about a day per course.

Laura ChappellLaura ChappellHR Director, Collingwood
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ComplianceCompliance Training Insurance and emergency accommodation 87%

less session time, from 2.5-3 hour sessions to modules of 25 minutes at most

  • 12 monthly sessions a year, up from 3-4
  • 95% content creation time saved

Our compliance sessions used to be two and a half to three hours in a room, and we could fit in three or four a year. Now we cover one topic a month, and I can see exactly what people are retaining.

Lucy WybornLucy WybornDirector of Learning and Development, ICAB
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ComplianceCompliance Training Legal services 80%

completion on mandatory training, up from 20%

  • Mobile microlessons finished between calls
  • Manager view of each team's progress

We were sitting at 20% completion on our mandatory training. We're now at 80%. People finish short lessons between calls, on mobile, and managers can see where their teams are, so chasing completion is no longer a one-person job.

Jamie WaltonJamie WaltonGroup Learning and Development Officer, Winn Solicitors
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ComplianceCompliance Training Fintech and digital banking On demand

training log showing who did what, when, and the pass rate

  • Any device phone or laptop, at their own pace
  • Rolling refreshers through the year

When I engage with the FCA, I can show that every team has had training tailored to their role, that it's up to date, and that it runs throughout the year, with a full log of who's done what.

Abdul GofurAbdul GofurHead of Compliance & Anti-Financial Crime, nsave
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★ Free sample lesson

See 5Mins in action with a free sample lesson

Interested in Financial Promotions training? Request a free sample lesson, book a short demo with our team, and we'll share your sample lessons after the call.

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  • A short demo with our team
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Free course catalogues

Take the catalogues with you

Free PDF catalogues to share with your compliance lead, your managers or your board.

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Financial services

Global Financial Compliance Catalogue

Specialized compliance training for financial services teams working across borders, covering AML, risk management, customer due diligence and international regulations.

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UK compliance

UK Compliance Catalogue

Built for UK organizations, covering GDPR, RIDDOR, Martyn's Law, employment law and the regulations your team needs day to day.

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Compliance

Global Compliance Catalogue

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Your questions answered

Questions about Financial Promotions training

How long is the Financial Promotions course?

It's made up of 7 short microlessons. Learners can finish it in one sitting or spread it over a few days, and 5Mins sends reminders until it is done.

Is there a certificate?

Yes. Learners get a certificate of completion once they finish every microlesson and complete both situational tests. The record is stored in 5Mins for audits.

What is a financial promotion?

An invitation or inducement to engage in investment activity, made in the course of business. It can be an ad, a social media post, a website, an email or a conversation.

Who should take this course?

Marketing, content and social media teams, the compliance teams who approve promotions, and anyone who writes customer communications in a regulated firm.

Does it cover social media?

Yes. One microlesson covers promotions on social media and other digital channels, and the risks that come with them.

Can I try the course first?

Yes. Request a free sample lesson and book a short demo with our team. After your demo, we'll share sample lessons with you so you can see the format for yourself.

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