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Withdrawn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

Each promotion is checked against the checks its medium requires, then signed off by two independent reviewers and a final approver.

  • FP-001Kestrelmere homepage banner for the managed portfolio

    11 of 11 required checks passedClearedSigned off

  • FP-002Paid search advert: managed portfolio comparison

    11 of 11 required checks passedClearedSigned off

  • FP-003Instagram post: managed portfolio explained

    12 of 12 required checks passedClearedSigned off

  • FP-004Influencer video promoting the managed portfolio

    12 of 12 required checks passedClearedSigned off

  • FP-005Monthly customer newsletter

    11 of 11 required checks passedClearedSigned off

  • FP-006Printed leaflet for the managed portfolio

    10 of 10 required checks passedClearedSigned off

  • FP-007Radio advert: Kestrelmere Growth

    10 of 10 required checks passedClearedIncomplete (5 of 7)

  • FP-008Partner website article about the managed portfolio

    12 of 12 required checks passedClearedSigned off

  • FP-009Affiliate landing page for the managed portfolio

    12 of 13 required checks passedFailed (1)Checklist not cleared

  • FP-010Webinar invitation email

    11 of 11 required checks passedClearedSigned off

  • FP-011Real-time call script for the managed portfolio

    4 of 11 required checks passedIncomplete (4 of 11)Incomplete (3 of 7)

  • FP-012Referral offer on the Kestrelmere app

    0 of 11 required checks passedIncomplete (0 of 11)Incomplete (1 of 7)

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.