Fund Comms in a box

Increased risks of sanctions and claims

Local regulators are paying more and more attention to marketing communications on funds and financial services. Some have issued warning statements on detected breaches, whilst others have gone a step further and issued fines for non-compliance. This trend is likely to increase with the new sanction regime introduced by UCITS V.

Being in breach of local regulations will also expose Management Companies to investor claims.

Management Companies face a myriad of regulations impacting their marketing communications

Despite market entry being simplified across the European Union, marketing activities remain largely governed by local rules. This means that marketing communications must comply with multiple local requirements based mainly on consumer protection rules e.g. performance disclosure, warning statements and additional practical information. This will impact funds’ factsheets, websites and marketing teasers to name but a few.