What is a condition for unsolicited promotions?

Unsolicited promotions can be permissible under certain conditions, particularly when they are directed to existing clients who are expecting such communications. This approach aligns with regulatory practices that emphasize maintaining relationships with current clients and respecting their preferences for communication. Existing clients are more likely to be familiar with the products or services being offered and may appreciate receiving relevant information, as it can enhance their engagement with the firm.

Regulatory frameworks often aim to protect consumers from unwanted solicitation, which is why establishing a prior relationship with the recipient—demonstrating that they are already expecting the communication—is essential. This helps to ensure that the promotions are not intrusive and foster a sense of trust between the firm and the client. By targeting those who have already engaged with the firm, the approach is both compliant with regulatory expectations and considerate of client preferences.