Financial Promotion Annex for firms with existing New Authorisation in progress [docx]

In view of the coming into force of the new financial promotion rules under policy statement (PS23/6), the Financial Conduct Authority has issued a new application form for firms that wish to engage in the approval of financial promotions of unauthorized firms. This particular form must be filed by all firms who wish to add financial promotions to an existing new authorization application (firms currently applying for authorization with the FCA seeking to add financial promotions to the activities they are currently seeking authorization for).
The form requests information on the type of financial promotions the firms seeks to approve, the firm’s policies and procedures to ensure that the promotion adheres to the FCA’s requirements pertaining to clarity, transparency, and truthfulness, and any supporting information such as the planned revenue from the activity.