Our thinking Quick reads Marketing high-risk investments: important new rules  
September 2022
2 min read

Marketing high-risk investments: important new rules  

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The Financial Conduct Authority (FCA) has released important information on new rules for the promotion of marketing high-risk investments. The FCA is seeking to address concerns about the ease and speed with which people can make high-risk investments by proposing a significant strengthening of its rules on how these products are promoted and sold to investors.

These rules primarily impact businesses that are:

  • Interacting with consumers and retail investors;
  • Marketing opportunities to High-Net-Worth Investors, Sophisticated Investors and other investors that are not categorised as professional investors.

Rules related to risk warnings for financial promotions of high-risk investments will have effect from 1 December 2022. All other rules will have effect from 1 February 2023.

To understand the intricacies of these new rules, MJ Hudson’s Regulatory solutions team have created a helpful Q&A.

This Q&A contains important information on the new rules made by the FCA to its principles and on the promotion of high-risk investments. The document also reminds firms of the proposed rules and guidelines made by the HM Treasury (“HMT”) to the financial promotion exemptions.

This memorandum covers the following publications:

If you wish to contact us about any items in this Q&A, please feel free to reach out to Mike Booth or Vasco Vicini.

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