Step 02 / Explore the pack

See the register. See who signed it off.

A visual view of what is inside the Investment and wealth edition, before you open Excel. Choose a tab to explore the illustrative worked example.

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Investment and wealth

Financial promotions approval pack · illustrative example firm: Kestrelmere Wealth Limited

Change firm type
08
Live promotions

In the example

01
Live without sign-off

Flagged first

01
Reviews overdue

At the as-at date

01
Withdrawn

Last twelve months

financial-promotions-approval-pack-wealth-workbook-worked-example.xlsxIllustrative data

Register status as at 31 Oct 2026

Live promotions without sign-off: 1

  • Live promotions

    8

  • Live and signed off

    7

  • Live without sign-off

    1

  • Live, checklist not cleared

    0

  • Reviews overdue

    1

  • Reviews due soon

    1

  • Attestations overdue

    1

  • Approvals without approver permission

    0

  • Withdrawn in the last 12 months

    1

  • Notifications outstanding

    0

Approver tracker

Approver permission: Yes. Each unauthorised person is attested quarterly.

  • Fieldstone Finance Podcast LtdFirst approval 31 Jan 2026 · last attestation 23 Jun 2026 · next due 23 Sep 2026 · 0 liveOverdue
  • Orchard Wealth Network LtdFirst approval 1 Sep 2026 · last attestation None · next due 1 Dec 2026 · 1 liveOn track

Withdrawal and amendment log

  • FP-006 · Amended · 9 Sep 2026Printed leaflet for the managed portfolio · trigger: Monitoring
  • FP-009 · Approval withdrawn · 10 Oct 2026Affiliate landing page for the managed portfolio · trigger: Complaint
See the actual workbook · real Excel sheets, rendered from the example file
Investment and wealth: One-page board summary of the promotions register (illustrative example)Board summary · opens full sizeInvestment and wealth: Approval register with medium, route, status, review dates and flags (illustrative example)Approval register · opens full sizeInvestment and wealth: Per-promotion checklist with required checks and results (illustrative example)Checklist · opens full sizeInvestment and wealth: Four-eyes sign-off record for each promotion (illustrative example)Sign-off · opens full size

Built from the same data and formulas as the worked-example workbook, for an invented firm. Every promotion and name is invented.

About the Investment and wealth edition

Wealth managers, investment managers, advisers and platforms. COBS 4.2.1R(1) requires a communication or financial promotion to be fair, clear and not misleading. COBS 4.12A adds a risk warning, incentive and direct offer rules for restricted mass market investments, and COBS 4.12B restricts promotions of non-mass market investments to retail clients.

The FCA does not set a template for a promotions register. This pack is a practical structure built on FSMA s21, COBS 4 and FG24/1. Read the financial promotions guide or see the compliance monitoring master pack, which includes a financial promotions review.