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
- 08
- Live promotions
- 01
- Live without sign-off
- 01
- Reviews overdue
- 01
- Withdrawn
In the example
Flagged first
At the as-at date
Last twelve months
Every promotion with its medium, route, status, next review and flag. All names and promotions are invented.
- FP-001Kestrelmere homepage banner for the managed portfolioLive
Website or app · Own promotion (we are authorised)
Approved 6 Oct 2026Next review 6 Oct 2027On track
- FP-002Paid search advert: managed portfolio comparisonLive
Paid search or display advert · Own promotion (we are authorised)
Approved 5 Mar 2026Next review 5 Sep 2026Overdue
- FP-003Instagram post: managed portfolio explainedLive
Social media post · Own promotion (we are authorised)
Approved 14 May 2026Next review 14 Nov 2026Due soon
- FP-004Influencer video promoting the managed portfolioLive
Influencer or affiliate content · Own promotion (we are authorised)
Approved 5 Jul 2026Next review 5 Jan 2027On track
- FP-005Monthly customer newsletterLive
Email or newsletter · Own promotion (we are authorised)
Approved 4 Jun 2026Next review 4 Jun 2027On track
- FP-006Printed leaflet for the managed portfolioAmended
Printed material · Own promotion (we are authorised)
Approved 4 May 2026Next review 4 May 2027On track
- FP-007Radio advert: Kestrelmere GrowthLive
Broadcast (TV or radio) · Own promotion (we are authorised)
Approved 3 Apr 2026Next review 3 Apr 2027On trackFlagged
Live without sign-off
- FP-008Partner website article about the managed portfolioLive
Website or app · Approved by us for an unauthorised person · Orchard Wealth Network Ltd
Approved 1 Sep 2026Next review 1 Dec 2026On track
- FP-009Affiliate landing page for the managed portfolioWithdrawn
Influencer or affiliate content · Approved by us for an unauthorised person · Fieldstone Finance Podcast Ltd
Approved 31 Jan 2026
- FP-010Webinar invitation emailApproved
Email or newsletter · Own promotion (we are authorised)
Approved 31 Dec 2025
- FP-011Real-time call script for the managed portfolioIn review
Real-time (phone, video or in person) · Own promotion (we are authorised)
Approved None
- FP-012Referral offer on the Kestrelmere appDraft
Website or app · Own promotion (we are authorised)
Approved None
See the actual workbook · real Excel sheets, rendered from the example file
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.