Below you will find the upcoming date and times for Compliance training sessions at ShareIn. Contact us to get in touch about joining a training session. All training sessions take place via video call with ShareIn.
- Treat Customers Fairly (TCF)
- Knowledge and Understanding
- Governance and Systems
- Individual Accountability
What you need to do
- Understand the limited range of investors that you can market to, ensuring that your products are designed with your target investors in mind.
- Create financial promotions and investor communications that are fair, clear and balanced. Submit all marketing material to ShareIn Compliance early, integrate comments as required and release only when approved.
- If complaints happen – report and help resolve them quickly.
You can find further information: