Edition 12

The CAP Code

The UK Code of Non-broadcast Advertising
and Direct & Promotional Marketing

Legal, decent, honest and truthful v12.2.94

Contents
Preface
Introduction

1. Compliance 12
2. Recognition of marketing communications 15
3. Misleading advertising 17
4. Harm and offence 29
5. Children 32
6. Privacy 36
7. Political advertisements 38
8. Promotional marketing 40
9. Distance selling 51
10. Use of data for marketing 53
11. Environmental claims 60
12. Medicines, medical devices, health-related products and beauty products 63
13. Weight control and slimming 72
14. Financial products 76
15. Food, food supplements and associated health or nutrition claims 79
16. Gambling 87
17. Lotteries 92
18. Alcohol 96
19. Motoring 102
20. Employment, homework schemes and business opportunities 104
21. Tobacco, rolling papers and filters 108
22. Electronic cigarettes 111
23. How the system works 115
24. History of self-regulation 126
25. Appendix 1 The DMCCA and the BPRs 129
26. Appendix 2 Advertising rules for on-demand services regulated by statute 133
27. Appendix 3 VSPs Advertising rules for video-sharing platforms regulated by statute 137

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 2

Preface
In the UK, The UK Code of Non-broadcast Advertising and Direct & Promotional
Marketing (the Code) is the rule book for non-broadcast advertisements, sales promotions
and direct marketing communications (marketing communications). The Code is primarily
concerned with the content of marketing communications and not with terms of business or
products themselves. Some rules, however, go beyond content; for example, those that cover
the administration of sales promotions, the suitability of promotional items, the delivery of
products ordered through an advertisement and the use of personal information in direct
marketing. Editorial content is specifically excluded from the Code, though it might be a factor
in determining the context in which marketing communications are judged.

The Committee of Advertising Practice (CAP) is the self-regulatory body that creates, revises
and enforces the Code. CAP's members include organisations that represent the advertising,
sales promotion, direct marketing and media businesses. Through their membership of CAP
member organisations, or through contractual agreements with media publishers and carriers,
those businesses agree to comply with the Code so that marketing communications are legal,
decent, honest and truthful and consumer confidence is maintained.

Some CAP member organisations, for example, the Data & Marketing Association and the
Proprietary Association of Great Britain, also require their members to observe their own
codes of practice. Those codes may cover some practices that are not covered in this Code.

The Code supplements the law, fills gaps where the law does not reach and often provides an
easier way of resolving disputes than by civil litigation or criminal prosecution. In many cases,
self-regulation ensures that legislation is not necessary. Although advertisers, promoters and
direct marketers (marketers), agencies and media may still wish to consult lawyers,
compliance with the Code should go a long way to ensuring compliance with the law in areas
covered by both the Code and the law.

By creating and following self-imposed rules, the marketing community produces marketing
communications that are welcomed and trusted. By practising self-regulation, it ensures the
integrity of advertising, promotions and direct marketing.

The value of self-regulation as an alternative to statutory control has been recognised across
Europe (including in legislation) for a number of years. Self-regulation is accepted by the

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 3

Department for Business and Trade, Trading Standards and the CMA as a first line of control
in protecting consumers and the industry.

The Advertising Standards Authority (ASA) is the independent body that endorses and
administers the Code, ensuring that the self-regulatory system works in the public interest.
The ASA's activities include investigating and ruling on complaints and conducting research.
Full information about the ASA's complaints procedure is available on [Link].

The vast majority of advertisers, promoters and direct marketers comply with the Code. Those
that do not may be subject to sanctions. Adverse publicity may result from the rulings
published by the ASA weekly on its website. The media, contractors and service providers
may withhold their services or deny access to space. Trading privileges (including direct mail
discounts) and recognition may be revoked, withdrawn or temporarily withheld. Pre-vetting
may be imposed and, in some cases, noncomplying parties can be referred to Trading
Standards for action, where appropriate, under the Digital Markets, Competition and
Consumers Act 2024 or the Business Protection from Misleading Marketing Regulations
2008.

The successful track record of the self-regulatory system meant that the ASA was recognised
as the natural co-regulatory partner when Ofcom was required to give effect to European
Union legislation governing advertising content on relevant on-demand services. The ASA
was designated by Ofcom as the co-regulator of advertising content included in on-demand
services with effect from August 2010. The statutory requirements applying to certain on-
demand services are reflected in the rules set out in Appendix 2 in this document.

The system is structured so that it does not operate in an unfair or anti-competitive manner or
restrict free speech unjustifiably. ASA decisions are subject to independent review, including in
exceptional cases by the Administrative Division of the High Court.

The full text of the Code is available on at: [Link].

CAP
t 020 7492 2200 f 020 7404 3404
e enquiries@[Link]
[Link]

ASA
t 020 7492 2222 f 020 7242 3696

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 4

e enquiries@[Link]
[Link]

Castle House,
37-45 Paul Street,
London,
EC2A 4LS

Copyright The Committee of Advertising Practice 2014.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 5

Introduction
This twelfth edition of the Code comes into force on 1 September 2010. It replaces all
previous editions.

As well as this Code, non-broadcast marketing communications are subject to legislation.

The advertising rules that apply to video-on-demand services which are subject to statutory
regulation are reflected in the rules set out in Appendix 2.

I The Code applies to:

a. advertisements in newspapers, magazines, brochures, leaflets, circulars, mailings, e-mails,

text transmissions (including SMS and MMS), fax transmissions, catalogues, follow-up
literature and other electronic or printed material

b. posters and other promotional media in public places, including moving images, except
where they appear unlawfully

c. cinema, video, DVD and Blu-ray advertisements

d. advertisements in non-broadcast electronic media, including but not limited to: online
advertisements in paid-for space (including banner or pop-up advertisements and online
video advertisements); paid-for search listings; preferential listings on price comparison sites;
viral advertisements (see III l); in-game advertisements; commercial classified
advertisements; advergames that feature in display advertisements; advertisements
transmitted by Bluetooth; advertisements distributed through web widgets and online
promotions and prize promotions

e. marketing databases containing consumers' personal information

f. promotions in non-broadcast media

g. advertorials (see III k)

h. Advertisements and other marketing communications by or from companies, organisations

or sole traders on their own websites, or in other non-paid-for space online under their control,
that are directly connected with the supply or transfer of goods, services, opportunities and
gifts, or which consist of direct solicitations of donations as part of their own fund-raising
activities.

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II The Code does not apply to:

a. broadcast advertisements (The BCAP Code sets out the rules that govern broadcast
advertisements on any television channel or radio station licensed by Ofcom)

b. the contents of premium-rate services, which are the responsibility of the Phone-paid
Services Authority; marketing communications that promote those services are subject to
Phone-paid Services Authority regulation and to the CAP Code

c. marketing communications on websites, apps and cross-border platforms (for example,

social media platforms or retail platforms) unless they meet at least one of the following
criteria:

Non-paid-for marketing communications from or by marketers with a UK registered

company address.

Marketing communications appearing on websites with a “.uk” top-level domain.

Paid-for marketing communications from or by marketers targeting people in the UK.

Marketing communications on websites, apps and cross-border platforms that do not meet at
least one of these criteria will fall outside of the scope of the CAP Code.

Most members of the European Union, and many non-European Union countries, have a self-
regulatory organisation that is a member of the European Advertising Standards Alliance
(EASA). EASA co-ordinates the cross-border complaints system for its members (which
include the ASA). The ASA will use the cross-border complaints system in the following
situations involving marketing communications on websites, apps and cross-border platforms:

Where non-paid-for marketing communications which are outside the remit of the CAP
Code target UK consumers, the ASA will refer complaints about them to the relevant
authority in the country in which the marketer is registered if that authority operates a
suitable cross-border complaint system. If a suitable cross-border complaint system is
not operated, the ASA will take what action it can.

Where the ASA receives complaints about paid-for marketing communications by

marketers without a UK-registered address which target UK consumers, and the ASA
considers that it is unable to take action in response to such complaints, the ASA will
refer the complaints to the relevant authority in the country in which the marketer is
registered if that authority operates a suitable cross-border complaint system.

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Direct marketing communications by or from marketers with a non-UK-registered company
address are subject to the jurisdiction of the relevant authority in the country in which the
marketer is registered if that authority operates a suitable cross-border complaint system. If a
suitable cross-border complaint system is not operated, the ASA will take what action it can.

d. claims, in marketing communications in media addressed only to medical, dental,

veterinary or allied practitioners, that relate to those practitioners' expertise

e. classified private advertisements, including those appearing online

f. statutory, public, police and other official notices or information, but not marketing
communications, produced by public authorities and the like

g. works of art exhibited in public or private

h. private correspondence, including correspondence between organisations and their

customers about existing relationships or past purchases

i. live oral communications, including telephone calls and announcements or direct

approaches from street marketers

j. press releases and other public relations material not covered by part I above

k. editorial content; for example, of the media or of books and regular competitions such as
crosswords

l. [Deleted 10 May 2018].

m. packages, wrappers, labels, tickets, timetables and price lists unless they advertise
another product or a promotion or are visible in a marketing communication

n. point-of-sale displays, except those covered by the promotional marketing rules or the
rolling paper and filter rules

o. political advertisements as defined in Section 7

p. marketing communications for causes and ideas in non-paid-for space, except where they
contain a direct solicitation for donations as part of the marketer's own fund-raising activities

q. website content not covered by I d and I h, including (but not limited to) editorial content,
news or public relations material, corporate reports and natural listings on a search engine or
a price comparison site

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r. sponsorship; marketing communications that refer to sponsorship are covered by the Code

s. customer charters and codes of practice

t. investor relations (see III m)

u. 'heritage advertising' by or from companies, organisations or sole traders on their own

websites, or in other non-paid for space online under their control, where that advertising is
not part of their current promotional strategy and is placed in an appropriate context. In cases
where advertisements or other marketing communications recently ruled against by the ASA
are featured, rule 1.2 (the spirit of the Code) may be invoked to bring those advertisements or
other marketing communications within remit.

III These definitions apply to the Code:

a. a product encompasses goods, services, ideas, causes, opportunities, prizes or gifts

b. a consumer is anyone who is likely to see a given marketing communication, whether in the
course of business or not

c. the United Kingdom covers the Isle of Man and the Channel Islands

d. a claim can be implied or direct, written, spoken or visual; the name of a product can
constitute a claim

e. the Code is divided into numbered rules

f. a marketing communication includes all forms of communication listed in part I

g. a marketer includes an advertiser, promoter or direct marketer

h. a supplier is anyone who supplies a product that is sold by a distance-selling marketing

communication (and can be the marketer)

i. a child is anyone under 16

j. a corporate subscriber includes corporate bodies such as limited companies in the UK,
limited liability partnerships in England, Wales and Northern Ireland or any partnerships in
Scotland. It also includes schools, hospitals, Government departments or agencies and other
public bodies. It does not include sole traders or non-limited liability partnerships in England,
Wales and Northern Ireland. See rule 10.14

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 9

k. An advertorial is an advertisement feature, announcement or promotion, the content of
which is controlled by the marketer, not the publisher, that is disseminated in exchange for a
payment or other reciprocal arrangement

l. A viral advertisement is an e-mail, text or other non-broadcast marketing communication

designed to stimulate significant circulation by recipients to generate commercial or
reputational benefit to the marketer. Viral advertisements are usually put into circulation
("seeded") by the marketer with a request, either explicit or implicit, for the message to be
forwarded to others. Sometimes they include a video clip or a link to website material or are
part of a promotional campaign

m. Investor relations material is information about an organisation (including its goods or

services) addressed to the financial community, including shareholders and investors, as well
as others who might be interested in the company's stock or financial stability.

IV These criteria apply to the Code:

a. the ASA Council's interpretation of the Code is final

b. if it is not clear whether a communication falls within the remit of the Code, the ASA will be
more likely to apply the Code if the material complained about is in paid-for space

c. compliance with the Code is assessed according to the marketing communication's

probable impact when taken as a whole and in context. That will depend on the medium in
which the marketing communication appeared, the audience and its likely response, the
nature of the product and any material distributed to consumers

d. the Non-broadcast ASA Council may have regard to decisions made by the Broadcast ASA
Council under the BCAP Code and, similarly, the Broadcast ASA Council may have regard to
decisions made by the Non-broadcast ASA Council under the CAP Code. Factors that help to
determine whether an ASA ruling is likely to apply across media include, but are not limited to,
the characteristics of the medium, how the advertisement is targeted, the context in which a
claim is made and the extent to which the relevant CAP Code provisions correspond to those
in the BCAP Code

e. the Code does not have the force of law and its interpretation will reflect its flexibility. The
Code operates alongside the law; the Courts may make rulings on matters covered by the
Code

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f. an indication of the statutory rules governing marketing communications is given
on [Link]; professional advice should be taken about their application

g. no spoken or written communication from the ASA or CAP should be understood as

containing legal advice

h. the Code is primarily concerned with the content of advertisements, promotions and direct
marketing communications and not with terms of business or products. Some rules, however,
go beyond content; for example, those that cover the administration of promotions, the
suitability of promotional items and the use of personal information in direct marketing.
Editorial content is specifically excluded from the remit of the Code (see II k) although it might
be a factor in determining the context in which a marketing communication is judged (see IV
c)

i. the Code makes due allowance for public sensitivities but will not be used by the ASA to
diminish freedom of speech unjustifiably

j. the ASA does not arbitrate between conflicting ideologies

k. in assessing compliance with the Code, the ASA may take account of honest market
practices and the general principle of good faith in the traders' field of activity

l. in relevant cases the ASA will have regard to existing statutory enforcement bodies. The
ASA reserves the right to refer complainants to the relevant statutory regulator in cases where
a complaint about a marketing communication relates to a Code rule that reflects a legal
provision for a regulated product.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 11

COMPLIANCE

1
COMPLIANCE
COMPLIANCE

Principle

The central principle for all marketing communications is that they should be legal, decent,
honest and truthful. All marketing communications should be prepared with a sense of
responsibility to consumers and society and should reflect the spirit, not merely the letter, of
the Code.

Background

Marketers should use the ASA website, [Link], to inform themselves of recent ASA
rulings, the latest text of the Code and CAP guidance on the Code.

The fact that a marketing communication complies with the Code does not guarantee that
every publisher will accept it. Media owners can refuse space to marketing communications
that break the Code and are not obliged to publish every marketing communication offered to
them.

The ASA/CAP self-regulatory system is recognised by the Government, Trading Standards

and the Courts as one of the "established means" of consumer protection in non-broadcast
marketing communications. Any matter that principally concerns a legal dispute will normally
need to be resolved through law enforcement agencies or the Courts.

The ASA and CAP will treat in confidence any genuinely private or secret material supplied
unless the Courts or officials acting within their statutory powers compel its disclosure.

Rules
1.1 Marketing communications should be legal, decent, honest and truthful..

1.2 Marketing communications must reflect the spirit, not merely the letter, of the
Code.

1.3 Marketing communications must be prepared with a sense of responsibility to

consumers and to society.

1.4 Marketers must comply with all general rules and with relevant sector-specific
rules.

1.5 No marketing communication should bring advertising into disrepute.

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COMPLIANCE

1.6 Marketing communications must respect the principles of fair competition

generally accepted in business.

1.7 Any unreasonable delay in responding to the ASA's enquiries will normally be
considered a breach of the Code.

1.7.1 The full name and geographical business address of the marketer must be
given to the ASA or CAP without delay if requested.

1.8 Marketing communications must comply with the Code. Primary responsibility
for observing the Code falls on marketers. Others involved in preparing or
publishing marketing communications, such as agencies, publishers and other
service suppliers, also accept an obligation to abide by the Code.

1.8.1 [Deleted 6 November 2018]

1.9 Marketers should deal fairly with consumers.

Legality
1.10 Marketers have primary responsibility for ensuring that their marketing
communications are legal. Marketing communications should comply with the
law and should not incite anyone to break it.

1.10.1 Marketers must not state or imply that a product can legally be sold if it cannot.*

(This rule reflects a prohibited practice from Schedule 20 of the DMCCA. See
note in Section 3 for more details).

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 14

RECOGNITION OF MARKETING COMMUNICATIONS

2
RECOGNITION OF MARKETING
COMMUNICATIONS
RECOGNITION OF MARKETING COMMUNICATIONS

Background

Other sections of the Code contain product-specific or audience-specific rules that are
intended to protect consumers from misleading marketing communications. For example, the
Charity-linked Promotions and Children sections of the Code contain rules that apply, as well
as the general rules, to marketing communications that fall under those sections.

Rules
2.1 Marketing communications must be obviously identifiable as such.

2.2 Unsolicited e-mail marketing communications must be obviously identifiable as

marketing communications without the need to open them (see rule 10.6).

2.3 Marketing communications must not falsely claim or imply that the marketer is
acting as a consumer or for purposes outside its trade, business, craft or
profession; marketing communications must make clear their commercial intent,
if that is not apparent from the context*. (This rule reflects a prohibited practice
from Schedule 20 of the DMCCA. See note in Section 3 for more details).

2.4 Marketers and publishers must make clear that advertorials are marketing
communications; for example, by heading them "advertisement feature"*. (This
rule reflects a prohibited practice from Schedule 20 of the DMCCA. See note in
Section 3 for more details).

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MISLEADING ADVERTISING

3
MISLEADING ADVERTISING
MISLEADING ADVERTISING

Background

Most rules in this section engage the transactional decision test (see Appendix 1). Those rules
generally refer to marketing communications “misleading” the consumer.

Other rules reflect prohibited practices that are considered unfair in all circumstances, and do
not therefore require the application of a transactional decision test. Those rules generally
state marketing communications “must not” engage in a practice, rather than referring to
misleading the consumer. Where a rule does reflect a prohibited practice, either in part or in
its entirety, it is marked with an asterisk.
The ASA will take the Unfair Commercial Practices (UCP) provisions in Chapter 1 of Part 4 of
the Digital Markets, Competition and Consumers Act 2024 into account when it rules on
complaints about marketing communications that are alleged to be misleading. See Appendix
1 for more information about the Act.

The ASA will take into account the impression created by marketing communications as well
as specific claims. It will rule on the basis of the likely effect on consumers, not the marketer's
intentions.

Other sections of the Code contain product-specific or audience-specific rules that are
intended to protect consumers from misleading marketing communications. For example, the
Children and Medicines sections of the Code contain rules that apply, as well as the general
rules, to marketing communications that fall under those sections.

If a marketing communication encourages consumers to buy a product or service through a

distance-selling mechanism, marketers should seek legal advice to ensure they comply with
the Consumer Contracts (Information, Cancellation and Additional Charges) Regulations
2013.

Rules
General
3.1 Marketing communications must not materially mislead or be likely to do so.

3.2 Obvious exaggerations ("puffery") and claims that the average consumer who
sees the marketing communication is unlikely to take literally are allowed
provided they do not materially mislead.

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MISLEADING ADVERTISING

3.3 Marketing communications must not omit material information or information

required to be included by law. This includes providing such information in a
way that is unclear or untimely, or in a way that the consumer is unlikely to see
or hear it.

Regard will be had to any limitations (e.g. as to time or space) resulting from
the means of communication used and steps taken by the marketer to
overcome these by providing the information by other means. “Material
information” is information that the average consumer needs to take an
informed transactional decision (as defined in Appendix 1).

3.4 For marketing communications that quote prices for advertised products,
omitting material information (for the purposes of rule 3.3) includes omitting any
of the following information, unless it is already apparent from the context:

3.4.1 the main characteristics of the product

3.4.2 the identity (and, if different, trading name) and business address (and, if
different, the service address) and any business email address of the marketer
and any other trader on whose behalf the marketer is acting

3.4.3 the total price of the advertised product, including any fees, taxes, charges or
other payments that the consumer will necessarily incur if the consumer
purchases the product

If, owing to the nature of the product, the whole or any part of the total price
cannot be calculated in advance, how the price (or that part of it) will be
calculated

3.4.4 any freight, delivery, or postal charges, including any taxes, not included in the
total price of the product but which the consumer may choose to incur (or,
where those additional taxes or charges cannot reasonably be calculated in
advance, the fact that they may be payable)

3.4.5 the arrangements for payment, delivery, performance or complaint handling, if

those depart from the marketer’s published practice in relation to those

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MISLEADING ADVERTISING

arrangements

3.4.6 that consumers have the right to withdraw or cancel, if they have that right (see
rule 3.56).

3.5 Marketing communications must not materially mislead by omitting the identity
of the marketer.

Some marketing communications must include the marketer's identity and

contact details. Marketing communications that fall under the Use of Data for
Marketing or Employment sections of the Code must comply with the more
detailed rules in those sections.

Marketers should note the law requires marketers to identify themselves in

some marketing communications. Marketers should take legal advice.

3.6 Subjective claims must not mislead the consumer; marketing communications
must not mislead by implying that expressions of opinion are objective claims.

Substantiation
3.7 Before distributing or submitting a marketing communication for publication,
marketers must hold documentary evidence to prove claims that consumers are
likely to regard as objective and that are capable of objective substantiation.
The ASA may regard claims as misleading in the absence of adequate
substantiation.

3.8 Claims for the content of non-fiction publications must not mislead by
exaggerating the value, accuracy, scientific validity or practical usefulness of
the product. Marketers must ensure that claims that have not been
independently substantiated but are based merely on the content of a
publication do not mislead consumers.

CAP has published a Help Note on the Marketing of Publications.

Qualification
3.9 Marketing communications must not mislead by omitting significant limitations
and qualifications. Qualifications may clarify but must not mislead by
contradicting the claims that they qualify.

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MISLEADING ADVERTISING

3.10 Qualifications must not mislead by not being presented clearly.

CAP has published Advertising Guidance on Misleading advertising: use of

qualifications.

Exaggeration
3.11 Marketing communications must not mislead consumers by exaggerating the
capability or performance of a product.

3.12 Marketing communications must not present rights given to consumers in law
as a distinctive feature of the marketer's offer.*

3.13 Marketing communications must not mislead by suggesting that their claims are
universally accepted if a significant division of informed or scientific opinion
exists.

Prohibited Claims

These rules apply regardless of any substantiation presented in support of the claims:

3.14 Marketing communications must not claim that products can facilitate winning in
games of chance.*

3.15 Marketing communications must not explicitly claim that the advertiser's job or
livelihood is at risk if the consumer does not buy the advertised product.*

3.16 No marketing communication may promote a pyramid promotional scheme.

Pyramid promotional schemes are those in which consumers pay for the
opportunity to receive payments derived primarily from the introduction of other
consumers into the scheme, not from the sale or consumption of products.*

Prices

Background

Price statements in marketing communications should take into account the Chartered
Trading Standards Institute’s Guidance for traders on pricing practices.

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MISLEADING ADVERTISING

Definition

Price statements include statements about the manner in which the price will be calculated as
well as definite prices.

3.17 Price statements must not mislead by omission, undue emphasis or distortion.
They must relate to the product featured in the marketing communication.

3.18 Quoted prices must include non-optional taxes, duties, fees and charges that
apply to all or most buyers. However, VAT-exclusive prices may be given if all
those to whom the price claim is clearly addressed pay no VAT or can recover
VAT. Such VAT-exclusive prices must be accompanied by a prominent
statement of the amount or rate of VAT payable.

3.19 If a tax, duty, fee or charge cannot be calculated in advance, for example,
because it depends on the consumer's circumstances, the marketing
communication must make clear that it is excluded from the advertised price
and state how it is calculated.

3.20 Marketing communications that state prices must also state any optional
delivery, freight or postal charges, including any taxes, or, if those cannot
reasonably be calculated in advance, state that such charges are payable (see
rule 3.4).

3.21 If the price of one product depends on another, marketing communications

must not mislead by failing to make clear the extent of the commitment the
consumer must make to obtain the advertised price.

3.22 Price claims such as "up to" and "from" must not mislead by exaggerating the
availability or amount of benefits likely to be obtained by the consumer.

Free
3.23 3.23 Marketing communications must not describe a product as "free", "gratis",
"without charge" or similar if the consumer has to pay anything other than the
unavoidable cost of responding and collecting or paying for delivery of the
item*, including if:

3.23.1 the consumer has to pay packing, packaging, handling or administration

charges for the "free" product

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MISLEADING ADVERTISING

3.23.2 the cost of response, including the price of a product that the consumer must
buy to take advantage of the offer, has been increased, except where the
increase results from factors that are unrelated to the cost of the promotion, or

3.23.3 the quality of the product that the consumer must buy has been reduced.

CAP and BCAP have published joint guidance on the use of "free".

3.24 Marketing communications must make clear the extent of the commitment the
consumer must make to take advantage of a "free" offer.

3.25 Marketers must not describe an element of a package as "free" if that element
is included in the package price unless consumers are likely to regard it as an
additional benefit because it has recently been added to the package without
increasing its price.

3.26 Marketers must not use the term "free trial" to describe "satisfaction or your
money back" offers or offers for which a non-refundable purchase is required.

Availability
3.27 Marketers must make a reasonable estimate of demand for advertised
products.

3.28 Marketing communications that quote a price for a featured product must
disclose if the marketer has any reasonable grounds for believing that it will not
be possible to supply the advertised (or an equivalent) product at the advertised
price within a reasonable period and in reasonable quantities.*

3.29 Marketers must not use the technique of switch selling, in which their sales staff
decline to show the advertised product, refuse to take orders for it or to deliver it
within a reasonable time or demonstrate a defective sample of it to promote a
different product.*

3.30 Marketing communications must not falsely claim that the marketer is about to
cease trading or move premises. They must not falsely state that a product, or
the terms on which it is offered, will be available only for a limited time to
deprive consumers of the time or opportunity to make an informed choice.*

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MISLEADING ADVERTISING

3.31 Marketing communications must not provide materially inaccurate information

on market conditions or the availability of the product with the intention of
inducing the consumer to acquire the product at conditions less favourable than
normal market conditions.*

Comparisons

Principle

The ASA will consider unqualified superlative claims as comparative claims against all
competing products. Superiority claims must be supported by evidence unless they are
obvious puffery (that is, claims that consumers are unlikely to take literally). Objective
superiority claims must make clear the aspect of the product or the marketer's performance
that is claimed to be superior.

Comparisons with identifiable competitors

3.32 Marketing communications that include a comparison with an identifiable

competitor must not mislead, or be likely to mislead, the consumer about either
the advertised product or the competing product.

3.33 They must compare products meeting the same needs or intended for the same
purpose.

3.34 They must objectively compare one or more material, relevant, verifiable and
representative feature of those products, which may include price.

3.35 They must not create confusion between the marketer and its competitors or
between the marketer's product, trade mark, trade name or other distinguishing
mark and that of a competitor.

3.36 Certain EU agricultural products and foods are, because of their unique
geographical area and method of production, given special protection by being
registered as having a "designation of origin". Products with a designation of
origin must be compared only with other products with the same designation.

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MISLEADING ADVERTISING

Other comparisons
3.37 Marketing communications that include a comparison with an unidentifiable
competitor must not mislead, or be likely to mislead, the consumer. The
elements of the comparison must not be selected to give the marketer an
unrepresentative advantage.

Price comparisons
3.38 Marketing communications that include a price comparison must not mislead by
failing to make the basis of the comparison clear.

CAP has published a Help Note on Retailers' Price Comparisons and a Help
Note on Lowest Price Claims and Price Promises.

3.39 Price comparisons must not mislead by falsely claiming a price advantage.
Comparisons with recommended retail prices (RRPs) are likely to mislead if the
RRP differs significantly from the price at which the product or service is
generally sold.

Imitation and denigration

3.40 Marketing communications must not mislead the consumer about who
manufactures the product.*

3.41 Marketing communications that include a comparison with an identifiable

competitor must not discredit or denigrate another product, marketer, trade
mark, trade name or other distinguishing mark.

3.42 Marketing communications must not take unfair advantage of the reputation of
a competitor's trade mark, trade name or other distinguishing mark or of the
designation of origin of a competing product.

3.43 Marketing communications must not present a product as an imitation or replica

of a product with a protected trade mark or trade name.

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MISLEADING ADVERTISING

Endorsements and testimonials

Note

The below rules relate to marketing materials under the remit of the CAP Code (see the
Scope of the Code). Marketers are advised to seek legal advice on other obligations in
relation to the prohibition on fake consumer reviews.

3.44 Marketing communications must not contain fake consumer reviews.

“Consumer review” means a review of a product, a trader or any other matter
relevant to a transactional decision.
A fake consumer review is a consumer review that purports to be, but is not,
based on a person’s genuine experience*.

3.45 Marketing communications must make clear where consumer reviews have
been incentivised.*

3.46 Marketers must not publish consumer reviews, or consumer review information,
in a misleading way in marketing communications. Publishing in a misleading
way includes (for example):
• Failing to publish, or removing from publication, negative consumer reviews
whilst publishing positive ones (or vice versa)
• Giving greater prominence to positive consumer reviews over negative ones
(or vice versa)
• Omitting information that is relevant to the circumstances in which a
consumer review has been written (including that a person has been
commissioned to write the review).
“Consumer review information” means information that is derived from, or is
influenced by, consumer reviews*.

3.47 Marketers must hold documentary evidence that a testimonial or endorsement

used in a marketing communication is genuine, unless it is obviously fictitious,
and hold contact details for the person who, or organisation that, gives it.

3.48 Testimonials must relate to the advertised product.

3.49 Claims that are likely to be interpreted as factual and appear in a testimonial
must not mislead or be likely to mislead the consumer.

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MISLEADING ADVERTISING

3.50 Marketing communications must not feature a testimonial without permission;

exceptions are normally made for accurate statements taken from a published
source, quotations from a publication or references to a test, trial, professional
endorsement, research facility or professional journal, which may be acceptable
without express permission.

3.51 Marketers must not refer in a marketing communication to advice received from
CAP or imply endorsement by the ASA or CAP.

3.52 Marketing communications must not display a trust mark, quality mark or
equivalent without the necessary authorisation. Marketing communications
must not claim that the marketer (or any other entity referred to), the marketing
communication or the advertised product has been approved, endorsed or
authorised by any public or private body if it has not or without complying with
the terms of the approval, endorsement or authorisation.*

3.53 Marketing communications must not falsely claim that the marketer, or other
entity referred to in the marketing communication, is a signatory to a code of
conduct. They must not falsely claim that a code of conduct has an
endorsement from a public or private body.*

3.54 Marketing communications must not use the Royal Arms or Emblems in a
misleading way that implies due authorisation or approval by a member of the
Royal Family where none has been given. If such authorisation or approval is
required (which it normally will be), the Lord Chamberlain’s Office should be
contacted in the first instance. References to a Royal Warrant should be
checked with the Royal Warrant Holders' Association.

Guarantees and after-sales service

Definition

In the rules below, "guarantee" includes warranties, after-sales service agreements, care
packages and similar products.

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MISLEADING ADVERTISING

3.55 Marketing communications must not use the word "guarantee" in a way that
could cause confusion about a consumer's rights.

3.56 Marketing communications must not mislead by omitting significant limitations

to an advertised guarantee (of the type that has implications for a consumer's
rights). Marketers must supply the full terms before the consumer is committed
to taking up the guarantee.

3.57 Marketers must promptly refund consumers who make valid claims under an
advertised money-back guarantee.

3.58 Marketing communications must not falsely claim or imply that after-sales
service is available, including falsely claiming that it is available in, or
accessible from, any particular country or location*.

3.59 If a marketing communication offers after-sales service but the after-sales

service is not available in the language of the marketing communication, the
marketer must explain that to the consumer before the contract is concluded*.

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HARM AND OFFENCE

4
HARM AND OFFENCE
HARM AND OFFENCE

Principle

Marketers should take account of the prevailing standards in society and the context in which
a marketing communication is likely to appear to minimise the risk of causing harm or serious
or widespread offence.

Rules
4.1 Marketing communications must not contain anything that is likely to cause
serious or widespread offence. Particular care must be taken to avoid causing
offence on the grounds of: age; disability; gender; gender reassignment;
marriage and civil partnership; pregnancy and maternity; race; religion or belief;
sex; and sexual orientation. Compliance will be judged on the context, medium,
audience, product and prevailing standards.

Marketing communications may be distasteful without necessarily breaching

this rule. Marketers are urged to consider public sensitivities before using
potentially offensive material.

The fact that a product is offensive to some people is not grounds for finding a
marketing communication in breach of the Code.

4.2 Marketing communications must not cause fear or distress without justifiable
reason; if it can be justified, the fear or distress should not be excessive.
Marketers must not use a shocking claim or image merely to attract attention.

4.3 References to anyone who is dead must be handled with particular care to
avoid causing offence or distress.

4.4 Marketing communications must contain nothing that is likely to condone or

encourage violence or anti-social behaviour.

4.5 Marketing communications, especially those addressed to or depicting a child,

must not condone or encourage an unsafe practice (see Section 5: Children).

4.6 Marketing communications must not encourage consumers to drink and drive.
Marketing communications must, where relevant, include a prominent warning
on the dangers of drinking and driving and must not suggest that the effects of
drinking alcohol can be masked.

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HARM AND OFFENCE

4.7 Marketers must take particular care not to include in their marketing
communications visual effects or techniques that are likely to adversely affect
members of the public with photosensitive epilepsy.

4.8 Marketing communications must not portray or represent anyone who is, or
seems to be, under 18 in a sexual way. However, this rule does not apply to
marketing communications whose principal function is to promote the welfare
of, or to prevent harm to, under-18s, provided any sexual portrayal or
representation is not excessive.

4.9 Marketing communications must not include gender stereotypes that are likely
to cause harm, or serious or widespread offence.

See Advertising Guidance: "Depicting gender stereotypes likely to cause harm

or serious or widespread offence"

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CHILDREN

5
CHILDREN
CHILDREN

Principle

Care should be taken when featuring or addressing children in marketing communications.

The way in which children perceive and react to marketing communications is influenced by
their age, experience and the context in which the message is delivered. Marketing
communications that are acceptable for young teenagers will not necessarily be acceptable
for younger children. The ASA will take those factors into account when assessing whether a
marketing communication complies with the Code.

Definition

For the purposes of the Code, a child is someone under 16.

Rules
Harm
5.1 Marketing communications addressed to, targeted directly at or featuring
children must contain nothing that is likely to result in their physical, mental or
moral harm:

5.1.1 children must not be encouraged to enter strange places or talk to strangers

5.1.2 children must not be shown in hazardous situations or behaving dangerously

except to promote safety. Children must not be shown unattended in street
scenes unless they are old enough to take responsibility for their own safety.

Pedestrians and cyclists must be seen to observe the Highway Code

5.1.3 children must not be shown using or in close proximity to dangerous

substances or equipment without direct adult supervision

5.1.4 children must not be encouraged to copy practices that might be unsafe for a
child

5.1.5 distance selling marketers must take care when using youth media not to
promote products that are unsuitable for children.

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CHILDREN

Credulity and unfair pressure

5.2 Marketing communications addressed to, targeted directly at or featuring
children must not exploit their credulity, loyalty, vulnerability or lack of
experience:

5.2.1 children must not be made to feel inferior or unpopular for not buying the
advertised product

5.2.2 children must not be made to feel that they are lacking in courage, duty or
loyalty if they do not buy or do not encourage others to buy a product

5.2.3 it must be made easy for children to judge the size, characteristics and
performance of advertised products and to distinguish between real-life
situations and fantasy

5.2.4 adult permission must be obtained before children are committed to buying
complex or costly products.

5.3 Marketing communications addressed to or targeted directly at children:

5.3.1 must not exaggerate what is attainable by an ordinary child using the product
being marketed

5.3.2 must not exploit children's susceptibility to charitable appeals and must explain
the extent to which their participation will help in any charity-linked promotions.

Direct appeal and parental authority

5.4 Marketing communications:

5.4.1 must not actively encourage children to make a nuisance of themselves to

parents or others and must not undermine parental authority

5.4.2 must not include a direct appeal to children to buy an advertised product or
persuade their parents or other adults to buy an advertised product for them.*

(This rule reflects a prohibited practice from Schedule 20 of the DMCCA. See
note in Section 3 for more details).

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CHILDREN

5.5 Marketing communications that contain a direct appeal to buy a product via a
direct-response mechanism must not be directly targeted at children. Direct-
response mechanisms are those that allow consumers to place orders without
face-to-face contact with the marketer.

Promotions
5.6 Promotions addressed to or targeted directly at children:

5.6.1 must make clear that adult permission is required if a prize or an incentive
might cause conflict between a child's desire and a parent's, or other adult's,
authority

5.6.2 must contain a prominent closing date if applicable (see rule 8.17.4)

5.6.3 must not exaggerate the value of a prize or the chances of winning it.

5.7 Promotions that require a purchase to participate and include a direct appeal to
make a purchase must not be addressed to or targeted at children. See Section
8: Promotional Marketing.

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PRIVACY

6
PRIVACY
PRIVACY

Principle

Individuals should be protected from unwarranted infringements of privacy.

Rules
6.1 Marketers must not unfairly portray or refer to anyone in an adverse or
offensive way unless that person has given the marketer written permission to
allow it. Marketers are urged to obtain written permission before:

referring to or portraying a member of the public or his or her identifiable

possessions; the use of a crowd scene or a general public location may
be acceptable without permission
referring to a person with a public profile; references that accurately
reflect the contents of a book, an article or a film might be acceptable
without permission
implying any personal approval of the advertised product; marketers
should recognise that those who do not want to be associated with the
product could have a legal claim.

Prior permission might not be needed if the marketing communication contains

nothing that is inconsistent with the position or views of the featured person.

6.2 Members of the royal family should not normally be shown or mentioned in a
marketing communication without their prior permission but an incidental
reference unconnected with the advertised product, or a reference to material
such as a book, article or film about a member of the royal family, may be
acceptable.

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POLITICAL ADVERTISEMENTS

7
POLITICAL ADVERTISEMENTS
POLITICAL ADVERTISEMENTS

Rules
7.1 Claims in marketing communications, whenever published or distributed, whose
principal function is to influence voters in a local, regional, national or
international election or referendum are exempt from the Code.

7.2 Marketing communications by central or local government, as distinct from

those concerning party policy, are subject to the Code.

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PROMOTIONAL MARKETING

8
PROMOTIONAL MARKETING
PROMOTIONAL MARKETING

Background

The promotional marketing rules apply to consumer and trade promotions, incentive schemes
and the promotional elements of sponsorships; they regulate the nature and administration of
promotions.

Promoters should take legal advice before embarking on promotions with prizes, including
competitions, prize draws, instant-win offers and premium promotions, to ensure that the
mechanisms involved do not make them unlawful lotteries (see the Gambling Act 2005 for
Great Britain and the Betting, Gaming, Lotteries and Amusements (Northern Ireland) Order
1985 (as amended) for Northern Ireland).

Promoters should comply with all other relevant legislation, including data protection
legislation for which guidance is available from the Information Commissioner's Office.

The promotional marketing rules must be read in conjunction with all other parts of the Code,
including the relevant rules in Section 5: Children and Section 18: Alcohol.

Definition

Promotional marketing can provide an incentive for the consumer to buy by using a range of
added direct or indirect benefits, usually on a temporary basis, to make the product more
attractive. A non-exhaustive list of promotional marketing techniques includes: "two for the
price of one" offers, money-off offers, text-to-wins, instant-wins, competitions and prize draws.
The rules do not apply to routine, non-promotional, distribution of products or product
extensions, for example one-off editorial supplements (in printed or electronic form) to
newspapers or magazines.

Rules
8.1 Promoters are responsible for all aspects and all stages of their promotions.

8.2 Promoters must conduct their promotions equitably, promptly and efficiently and
be seen to deal fairly and honourably with participants and potential
participants. Promoters must avoid causing unnecessary disappointment.

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PROMOTIONAL MARKETING

Protection of consumers, safety and suitability

8.3 Promoters must do everything reasonable to ensure that their promotions,
including product samples, are safe and cause no harm to consumers or their
property. Literature accompanying promotional items must give any necessary
warnings and safety advice.

8.4 Alcoholic drinks must not feature in promotions directed at people under 18.
Alcohol must not be available on promotion to anyone under 18.

8.5 Promotions must not be socially undesirable to the audience addressed by

encouraging excessive consumption or irresponsible use.

8.6 Promoters must do everything reasonable to ensure that unsuitable or

irresponsible material does not reach consumers or other recipients.

8.7 No promotion or promotional item should cause serious or widespread offence

to consumers.

Children
8.8 Special care must be taken with promotions addressed to children or if products
or items intended for adults might fall into the hands of children. (See Section 5:
Children)

Availability
8.9 Phrases such as “subject to availability” do not relieve promoters of their
obligation to do everything reasonable to avoid disappointing participants.

8.10 Promoters must be able to demonstrate that they have made a reasonable
estimate of the likely response and either that they were capable of meeting
that response or that consumers had sufficient information, presented clearly
and in a timely fashion, to make an informed decision on whether or not to
participate - for example regarding any limitation on availability and the likely
demand.

8.11 If promoters rely on being able to meet the estimated response but are unable
to supply demand for a promotional offer because of an unexpectedly high
response or some other unanticipated factor outside their control, they must
ensure relevant timely communication with applicants and consumers and, in
cases of any likely detriment, offer a refund or a reasonable substitute product.

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PROMOTIONAL MARKETING

8.12 Promoters must not encourage the consumer to make a purchase or series of
purchases as a precondition to applying for promotional items if the number of
those items is limited, unless the limitation is made sufficiently clear at each
stage for the consumer accurately to assess whether participation is
worthwhile.

8.13 If a prize promotion is widely advertised, the promoter must ensure the
widespread availability of the requisite forms and any goods needed to
establish proof of purchase.

Administration
8.14 Promoters must ensure that their promotions are conducted under proper
supervision and make adequate resources available to administer them.
Promoters, agencies and intermediaries should not give consumers justifiable
grounds for complaint.

8.15 Promoters must allow adequate time for each phase of the promotion: notifying
the trade; distributing the goods; issuing rules if relevant; collecting wrappers
and the like and judging and announcing results.

8.15.1 Promoters must award the prizes as described in their marketing

communications or reasonable equivalents, normally within 30 days.*

(This rule reflects a prohibited practice from Schedule 20 of the DMCCA. See
note in Section 3 for more details).

8.16 [Rule deleted 30 April 2015].

Significant conditions for promotions

Background

Please see the Children section, the Prize Promotions sub-section and the CAP Help Note
on Promotions with Prizes.

8.17 All marketing communications or other material referring to promotions must

communicate all applicable significant conditions or information where the
omission of such conditions or information is likely to mislead. Significant
conditions or information may, depending on the circumstances, include:

8.17.1 How to participate

How to participate, including significant conditions and costs, and other major

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PROMOTIONAL MARKETING

factors reasonably likely to influence consumer's decision or understanding

about the promotion

8.17.2 Free-entry route explanation

Any free-entry route should be explained clearly and prominently

8.17.3 Start date

The start date, if applicable

8.17.4 Closing date

8.17.4.a A prominent closing date, if applicable, for purchases and submissions of

entries or claims. Closing dates are not always necessary, for example:
comparisons that refer to a special offer (whether the promoter's previous offer
or a competitor's offer) if the offer is and is stated to be "subject to availability";
promotions limited only by the availability of promotional packs (gifts with a
purchase, extra-volume packs and reduced-price packs) and loyalty schemes
run on an open-ended basis

8.17.4.b Unless the promotional pack includes the promotional item or prize and the only
limit is the availability of that pack, prize promotions and promotions addressed
to or targeted at children are likely to need a closing date

8.17.4.c Promoters must be able to demonstrate that the absence of a closing date will
not disadvantage consumers

8.17.4.d Promoters must state if the deadline for responding to undated promotional
material will be calculated from the date the material was received by
consumers, if the omission of that information is likely to mislead

8.17.4.e Closing dates must not be changed unless unavoidable circumstances beyond
the control of the promoter make it necessary and either not to change the date
would be unfair to those who sought to participate within the original terms, or
those who sought to participate within the original terms will not be
disadvantaged by the change.

8.17.5 Proof of purchase

Any proof of purchase requirements

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PROMOTIONAL MARKETING

8.17.6 Prizes and gifts

Promoters must specify the number and nature of prizes or gifts, if applicable. If
the exact number cannot be predetermined, a reasonable estimate of the
number and a statement of their nature must be made. Promoters must:

8.17.6.a distinguish those prizes that could be won, including estimated prize funds,
from those prizes that will be won by someone by the end of the promotional
period and

8.17.6.b state whether prizes are to be awarded in instalments or are to be shared

among recipients

8.17.7 Restrictions
Geographical, personal or technological restrictions such as location, age or the
need to access the Internet. Promoters must state any need to obtain
permission to enter from an adult or employer

8.17.8 Availability
The availability of promotional packs if it is not obvious; for example, if
promotional packs could become unavailable before the stated closing date of
the offer. Any limitation on availability should be sufficiently clear for a consumer
to assess whether participation is worthwhile.

8.17.9 Promoter's name and address

Unless it is obvious from the context or if entry into an advertised promotion is
only through a dedicated website containing that information in an easily found
format, the promoter's full name and correspondence address must be stated.

8.18 Marketing communications that include a promotion and are significantly limited
by time or space must include as much information about significant conditions
as practicable and must direct consumers clearly to an easily accessible
alternative source where all the significant conditions of the promotion are
prominently stated. Participants should be able to retain those conditions or
easily access them throughout the promotion.

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PROMOTIONAL MARKETING

Prize promotions

Background

See CAP Help Note on Promotions with Prizes.

8.19 Promoters must not claim that consumers have won a prize if they have not.
The distinction between prizes and gifts, or equivalent benefits, must always be
clear. Ordinarily, consumers may expect an item offered to a significant
proportion of participants to be described as a ‘gift’, while an item offered to a
small minority may be more likely to be described as a ‘prize’. If a promotion
offers a gift to a significant proportion and a prize to a minority, special care is
needed to avoid confusing the two: the promotion must, for example, state
clearly that consumers “qualify” for the gift but have merely an opportunity to
win the prize. If a promotion includes, in a list of prizes, a gift for which
consumers have qualified, the promoter must distinguish clearly between the
two.

8.20 Promoters must not exaggerate consumers' chances of winning prizes. They
must not include a consumer who has been awarded a gift in a list of prize
winners.

8.21 Promoters must not claim or imply that consumers are luckier than they are.
They must not use terms such as "finalist" or "final stage" in a way that implies
that consumers have progressed, by chance or skill, to an advanced stage of a
promotion if they have not.

8.21.1 Promoters must not falsely claim or imply that the consumer has already won,
will win or will on doing a particular act win a prize (or other equivalent benefit) if
the consumer must incur a cost to claim the prize (or other equivalent benefit)
or if the prize (or other equivalent benefit) does not exist.*

(This rule reflects a prohibited practice from Schedule 20 of the DMCCA. See
note in Section 3 for more details).

8.22 Promoters must not claim that consumers must respond by a specified date or
within a specified time if they need not.

8.23 Promoters must avoid rules that are too complex to be understood and they
must only exceptionally supplement or amend conditions of entry with extra
rules. In such circumstances, promoters must tell participants how to obtain the

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PROMOTIONAL MARKETING

supplemental or amended rules and they must contain nothing that could
reasonably have influenced consumers against buying or participating.

8.24 Promoters of prize draws must ensure that prizes are awarded in accordance
with the laws of chance and, unless winners are selected by a computer
process that produces verifiably random results, by an independent person, or
under the supervision of an independent person.

8.25 Participants in instant-win promotions must get their winnings at once or must
know immediately what they have won and how to claim without delay, cost or
administrative barriers. Instant-win tickets, tokens or numbers must be awarded
on a fair and random basis and verification must take the form of an
independently audited statement that all prizes have been distributed, or made
available for distribution, in that manner.

8.26 In competitions, if the selection of a winning entry is open to subjective

interpretation, an independent judge, or a panel that includes one independent
member must be appointed. In either case, the judge or panel member must be
demonstrably independent, especially from the competition's promoters and
intermediaries and from the pool of entrants from which the eventual winner is
picked. Those appointed to act as judges should be competent to judge the
competition and their full names must be made available on request.

8.27 Withholding prizes (see rules 8.15.1 and 8.28.2) is justified only if participants
have not met the qualifying criteria set out clearly in the rules of the promotion.

8.28 Participants must be able to retain conditions or easily access them throughout
the promotion. In addition to rule 8.17, prize promotions must specify on all
marketing communications or other material referring to them, the following
information, clearly before or at the time of entry, where the omission of any of
the specified items is likely to mislead.

8.28.1 any restriction on the number of entries

8.28.2 whether the promoter may substitute a cash alternative for any prize

8.28.3 if more than 30 days after the closing date, the date by which prizewinners will
receive their prizes

8.28.4 how and when winners will be notified of results

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PROMOTIONAL MARKETING

8.28.5 Promoters must either publish or make available information that indicates that
a valid award took place – ordinarily the surname and county of major
prizewinners and, if applicable, their winning entries. At or before the time of
entry, promoters must inform entrants of their intention to publish or make
available the information and give them the opportunity to object to their
information being published or made available, or to reduce the amount of
information published or made available. In such circumstances, the promoter
must nevertheless still provide the information and winning entry to the ASA if
challenged. The privacy of prizewinners must not be prejudiced by the
publication of personal information and in limited circumstances (for example, in
relation to National Savings) promoters may need to comply with a legal
requirement not to publish such information.

8.28.6 in a competition, the criteria and mechanism for judging entries (for example,
the most apt and original tiebreaker)

8.28.7 if relevant, who owns the copyright of the entries

8.28.8 if applicable, how the promoter will return entries

8.28.9 any intention to use winners in post-event publicity.

Front-page flashes
8.29 Publishers announcing reader promotions on the front page or cover must
ensure that consumers know whether they are expected to buy subsequent
editions of the publication. Major conditions that might reasonably influence
consumers significantly in their decision to buy must appear on the front page
or cover. (see CAP Help Note on Front-page Flashes)

Trade incentives
8.30 Incentive schemes must be designed and implemented to take account of the
interests of everyone involved and must not compromise the obligation of
employees to give honest advice to consumers.

8.31 If they intend to ask for help from, or offer incentives to, another company's
employees, promoters must require those employees to obtain their employer's
permission before participating. Promoters must observe any procedures
established by companies for their employees, including any rules for
participating in promotions.

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PROMOTIONAL MARKETING

8.32 Incentive schemes and relevant promotions must make clear if a tax liability
might arise.

Charity-linked Promotions
8.33 Promotions run by third parties (for example commercial companies) claiming
that participation will benefit a registered charity or cause must:

8.33.1 name each charity or cause that will benefit and be able to show the ASA or
CAP the formal agreement with those benefiting from the promotion

8.33.2 if it is not a registered charity, define its nature and objectives

8.33.3 specify exactly what will be gained by the named charity or cause and state the
basis on which the contribution will be calculated (see rule 8.34)

8.33.4 state if the promoter has imposed a limit on its contributions

8.33.5 not impose a cut-off point for contributions by consumers if an amount is stated
for each purchase. If a target total is stated, extra money collected should be
given to the named charity or cause on the same basis as contributions below
that level

8.33.6 be able to show that targets set are realistic

8.33.7 not exaggerate the benefit to the charity or cause derived from individual
purchases of the promoted product

8.33.8 if asked, make available to consumers a current or final total of contributions

made

8.33.9 not directly encourage children to buy, or exhort children to persuade an adult
to buy for them, a product that promotes charitable purposes.

8.34 Where a promotion states or implies that part of the price paid for goods or
services will be given to a charity or cause, state the actual amount or
percentage of the price that will be paid to the charity or cause.

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PROMOTIONAL MARKETING

8.34.1 For any other promotion linked to a charity or where a third party states or
implies that donations will be given to a charity or cause, the promotion must
state the total (or a reasonable estimate) of the amount the charity or cause will
receive.

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DISTANCE SELLING

9
DISTANCE SELLING
DISTANCE SELLING

Background

Most business-to-consumer distance selling contracts are subject to the Consumer Contracts
(Information, Cancellation, and Additional Charges) Regulations 2013. Contracts that wholly
consist of exempt activities are not subject to the Regulations. These exemptions relate to:

gambling;
banking, credit, insurance, personal pension, investment or payment services;
the creation of or rights in immovable property;
residential rental agreements;
construction of new or substantially new buildings;
foodstuffs, beverages or goods intended for regular, general household consumption;
package holidays, tours or travel; and
certain aspects of timeshare, long-term holiday product, resale and exchange contracts.

In August 2015, CAP removed its distance selling rules after consultation. Marketers should
seek legal advice to ensure they comply with the Regulations.

The Data & Marketing Association (DMA) requires its members to observe the DMA Code of
Practice, which covers some practices that are not covered in the CAP Code.

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USE OF DATA FOR MARKETING

10
USE OF DATA FOR MARKETING
USE OF DATA FOR MARKETING

Background

In considering complaints under these rules, the ASA will have regard to retained Regulation
(EU) 2016/679 (the General Data Protection Regulation, “UK GDPR”) and the Data Protection
Act 2018 in the case of personal data, and the Privacy and Electronic Communications (EC
Directive) Regulations 2003 in the case of activities relating to electronic communications.
Marketers must comply with this legislation and guidance is available from the Information
Commissioner's Office. Although the legislation has a wide application, these rules relate only
to data used for direct marketing purposes. The rules should be observed in conjunction with
the legislation, and do not replace it: in the event of doubt, marketers are urged to seek legal
advice.

Responsibility for complying with the rules on the use of personal data rests primarily with
marketers who are controllers of personal data. Others involved in sending marketing
communications (for example, agencies or service suppliers) also have a responsibility to
comply.

These rules do not seek to cover all circumstances. Other narrow grounds for processing or
limited exemptions set out in the UK GDPR may be available to marketers, but if a marketer
wishes to rely on them it would need to be able readily to explain how they are applicable.

Definitions

"Consent” is any freely given, specific, informed and unambiguous indication of a consumer's
wishes by which he or she, by a statement or by a clear affirmative action, signifies
agreement to the processing of personal data relating to him or her.

A "controller" is any person or organisation that, alone or jointly with others, determines the
purposes and means of the processing of personal data;

“Electronic mail” in this section encompasses text, voice, sounds or image message, including
e-mail, Short Message Service (SMS), Multimedia Messaging Service (MMS).

“Personal data” is any information relating to an identified or identifiable natural person; an

identifiable natural person is one who can be identified, directly or indirectly, in particular by
reference to an identifier such as a name, an identification number, location data, an online
identifier or to one or more factors specific to the physical, physiological, genetic, mental,
economic, cultural or social identity of that natural person.

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USE OF DATA FOR MARKETING

A "preference service" is a service that, to reduce unsolicited contact, enables consumers and
businesses to have their names and contact details in the UK removed from or added to lists
that are used by the direct marketing industry.

“Special categories” of personal data means: personal data revealing racial or ethnic origin,
political opinions, religious or philosophical beliefs, or trade union membership; and genetic
data, biometric data for the purpose of uniquely identifying a natural person, data concerning
health or data concerning a natural person's sex life or sexual orientation.

(See also CAP Help Notes on Mobile Marketing and Viral Marketing.)

Rules
10.1 Marketers must not make persistent and unwanted marketing communications
by any means.*

(This rule reflects a prohibited practice from Schedule 20 of the DMCCA. See
note in Section 3 for more details).

10.2 At the time of collecting consumers’ personal data from them, marketers must
provide consumers with the following information (in, for example, a privacy
notice), unless the consumer already has it:

10.2.1 the identity and the contact details of the marketer or the marketer's
representative

10.2.2 the contact details of the data protection officer of the marketer, where
applicable

10.2.3 the purposes for which the collection of the personal data are intended and the
legal basis for collection

10.2.4 the legitimate interests of the marketer or third party, where processing is based
on these interests (see rule 10.5)

10.2.5 the recipients or categories of recipients of the personal data, if any

10.2.6 where applicable, that the marketer intends to transfer personal data to a
recipient in a third country or international organisation. If so, marketers must
refer to the existence or absence of an adequacy decision by the European
Commission, or to the appropriate or suitable safeguards or binding corporate

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USE OF DATA FOR MARKETING

rules referred to in Article 46 or 47 of the UK GDPR, or to the compelling

legitimate interests under the second subparagraph of Article 49(1) UK GDPR,
and the means to obtain a copy of the transfer mechanisms relied on or where
they have been made available

10.2.7 the period for which the personal data will be stored, or if that is not possible,
the criteria used to determine that period

10.2.8 the existence of the right to request from the marketer access to and
rectification or erasure of personal data or restriction of processing concerning
the consumer or to object to processing as well as the right to data portability

10.2.9 if relying on consent as the legal basis, the existence of the right to withdraw
consent at any time, without affecting the lawfulness of processing based on
consent before its withdrawal

10.2.10 the right to lodge a complaint with a data protection supervisory authority

10.2.11 whether the provision of personal data is a statutory or contractual requirement,

or a requirement necessary to enter into a contract, as well as whether the
consumer is obliged to provide the personal data and of the possible
consequences of failure to provide such data

10.2.12 the existence of automated decision-making, including profiling producing legal

or similarly significant effects on consumers, referred to in Article 22(1) and (4)
of the UK GDPR and, at least in those cases, meaningful information about the
logic involved, as well as the significance and the envisaged consequences of
such processing for the consumer.

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USE OF DATA FOR MARKETING

10.3 Where marketers have obtained consumers’ personal data from other sources
(for example, third party list providers), they must provide consumers with the
information listed in rule 10.2 (in, for example, a privacy notice), unless the
consumer already has it, in compliance with at least one of these three options:
(i) within a reasonable period, at the latest within one month after obtaining the
personal data; or (ii) if the data are to be used for communication with the
consumer, at the latest at the time of the first communication with the
consumer; or (iii) where a disclosure to another recipient is envisaged, no later
when the personal data is first disclosed. In such cases, marketers must also
provide, within the same timeframes, information on the categories of personal
data concerned, the source from which the personal information originates, and
if applicable, whether it came from publicly accessible sources but a marketer
does not need to provide the information in rule 10.2.11 above.

10.4 In all cases where marketers intend to further process personal data for a
purpose other than that for which it was obtained and referred to (for example,
in the original privacy notice), they must ensure that the new purpose is not
incompatible with the original purpose, and provide consumers with information
(in, for example, a further privacy notice) on that other purpose before
processing it.

10.5 Marketers must either obtain prior consent (see Definitions) from consumers
before processing their personal data to send marketing communications, or be
in a position to demonstrate that the processing is necessary for the purposes
of their or a third party’s legitimate interests. The legitimate interests provision
does not apply where such interests are overridden by the interests or
fundamental rights and freedoms of the consumer which require protection of
personal data, in particular where the consumer is a child; and it does not
provide a basis for processing personal data to send marketing
communications by electronic mail (although, see rule 10.6 below).

10.6 Marketers must have obtained consent before using contact details to send
marketing communications to consumers by electronic mail, unless (i) the
communications are for the marketer’s similar products and services, (ii) the
contact details have been obtained during, or in negotiations for, a sale; and (iii)
marketers tell those consumers that they may opt out of receiving future
marketing communications, both when they collect their contact details and on
every subsequent occasion they send marketing communications to them.
Marketers must give consumers a simple means to opt out. Certain
organisations cannot rely on this exception from consent – charities, political
parties and not-for-profits where there is no sale or negotiation for a sale. This

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USE OF DATA FOR MARKETING

rule does not apply where the consumer is a corporate subscriber: see rule
10.14 below.

10.7 Marketing communications sent by electronic mail (but not those sent by
Bluetooth technology) must contain the marketer's full name (or, in the case of
SMS messages, a recognisable abbreviation) and a valid address; for example,
an e-mail address or a SMS short code to which recipients can send opt-out
requests.

10.8 Fax and non-live-sound automated-call marketing communications must

contain the marketer's full name and a valid address or freephone number to
which recipients can send opt-out requests.

10.9 Marketers must obtain explicit consent before processing special categories
(see Definitions) of personal data, unless the data has already manifestly been
made public by the consumer and the use of it was fair and within the
reasonable expectations of the consumer.

10.10 Consumers are entitled to have their personal data suppressed so that they do
not receive marketing. Marketers must ensure that, before use, databases have
been run against relevant suppression files within a suitable period. Marketers
must hold limited information, for suppression purposes only, to ensure that no
other marketing communications are sent to those consumers as a result of
information about those consumers being reobtained through a third party.

10.11 Marketers must do everything reasonable to ensure that anyone who has been
notified to them as dead is not contacted again and the notifier is referred to the
relevant preference service.

10.12 When relying on consent as the basis for processing personal data, marketers
must inform consumers that they have the right to withdraw their consent, at
any time. Marketers must ensure that it is as easy for consumers to withdraw
consent as it was to give consent.

10.13 When relying on legitimate interests as the basis for processing personal data,
marketers must stop such processing if the consumer objects. Marketers must
explicitly inform consumers, clearly and separately from any other information,
of their right to object no later than the time of their first communication with the
consumer.

10.14 Consent is not required when marketing business products by fax or by

electronic mail to corporate subscribers (see III j), including to their named

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USE OF DATA FOR MARKETING

employees. Marketers must nevertheless comply with rule 10.10 and offer opt-
outs in line with rules 10.6 and 10.7.

Children

Background

Please see Section 5: Children

10.15 Marketers must comply with rule 10.5 when processing the personal data of
children. Where marketers process the personal data of children under 13 in
relation to an offer of online services on the basis of consent, they must obtain
the verifiable consent of the child’s parent or guardian. Where marketers
process the personal data of children under 13 for other marketing purposes (in
other words, not in relation to an offer of online services) on the basis of
consent, marketers must obtain the verifiable consent of the child’s parent or
guardian, unless they can demonstrate compelling reasons for relying on the
child’s consent and that they have had particular regard to the child’s privacy
rights.

10.16 When collecting personal data from a child, marketers must ensure that the
information provided in Rule 10.2 is readily intelligible to a child (or their parents
if relying on Rule 10.15).

10.17 Marketers should avoid using the personal data of a child to create personality
or user profiles especially in the context of automated decision-making that
produces legal effects or similarly significantly affects a child.

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ENVIRONMENTAL CLAIMS

11
ENVIRONMENTAL CLAIMS
ENVIRONMENTAL CLAIMS

Background

Marketers should take account of the Green Claims Code published by the Competition and
Markets Authority.

Rules
11.1 The basis of environmental claims must be clear. Unqualified claims could
mislead if they omit material information.

11.2 The meaning of all terms used in marketing communications must be clear to
consumers.

11.3 Absolute claims must be supported by a high level of substantiation.

Comparative claims such as "greener" or "friendlier" can be justified, for
example, if the advertised product provides a total environmental benefit over
that of the marketer's previous product or competitor products and the basis of
the comparison is clear.

11.4 Marketers must base environmental claims on the full life cycle of the
advertised product, unless the marketing communication states otherwise, and
must make clear the limits of the life cycle. If a general claim cannot be justified,
a more limited claim about specific aspects of a product might be justifiable.
Marketers must ensure claims that are based on only part of the advertised
product's life cycle do not mislead consumers about the product's total
environmental impact.

11.5 Marketers must not suggest that their claims are universally accepted if a
significant division of informed or scientific opinion exists.

11.6 If a product has never had a demonstrably adverse effect on the environment,
marketing communications must not imply that the formulation has changed to
improve the product in the way claimed. Marketers may, however, claim that a
product has always been designed in a way that omits an ingredient or process
known to harm the environment.

11.7 Marketing communications must not mislead consumers about the

environmental benefit that a product offers; for example, by highlighting the
absence of an environmentally damaging ingredient if that ingredient is not
usually found in competing products or by highlighting an environmental benefit
that results from a legal obligation if competing products are subject to that
legal obligation.

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11.8 This rule must be read in conjunction with Directive (EC) No 2010/30/EU and
the Energy Information Regulations 2011 on labelling and standard product
information of the consumption of energy and other resources by energy-
related products and its subsequent delegated regulations. The Directive
introduces an information and labelling framework whereby delegated
regulations will detail which products need to contain an energy efficiency rating
or fiche. The rule only applies to products which are subject to a delegated
regulation.

From 1 August 2017 Regulation EU 2017/1369 mandates a rescaling of

existing energy labelling to provide more accurate information for consumers,
including in advertising, where the energy efficiency class of a product and the
range of classes available will need to be given. The existing delegated
regulation continues to apply whilst that rescaling process is ongoing.

For more information on delegated regulations, go to energy.

Marketing communications for specific energy-related products, subject to a

delegated regulation, that include energy-related information or disclose price
information, must include an indication of the product's energy efficiency class
i.e. in the range A+++ to G.

11.9 This rule must be read in conjunction with Directive (EC) No 2010/30/EU and
the Energy Information Regulations 2011 on labelling and standard product
information of the consumption of energy and other resources by energy-
related products and its subsequent delegated regulations. The Directive
introduces an information and labelling framework whereby delegated
regulations will detail which products need to contain an energy efficiency rating
or fiche. The rule only applies to products which are subject to a delegated
regulation.

From 1 August 2017 Regulation EU 2017/1369 mandates a rescaling of

existing energy labelling to provide more accurate information for consumers,
including in advertising, where the energy efficiency class of a product and the
range of classes available will need to be given. The existing delegated
regulation continues to apply whilst that rescaling process is ongoing.

For more information on delegated regulations, go to energy.

Marketers must make product fiche information about products that fall under
delegated regulations available to consumers before commitment.

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MEDICINES, MEDICAL DEVICES, HEALTH-RELATED PRODUCTS AND BEAUTY PRODUCTS

12
MEDICINES, MEDICAL DEVICES,
HEALTH-RELATED PRODUCTS
AND BEAUTY PRODUCTS
MEDICINES, MEDICAL DEVICES, HEALTH-RELATED PRODUCTS AND BEAUTY PRODUCTS

Background

The rules in this section are designed to ensure that marketing communications for
medicines, medical devices, treatments, health-related products and beauty products receive
the necessary high level of scrutiny. The rules apply to marketing communications and not the
products, which are regulated by health regulators such as the Medicines and Healthcare
products Regulatory Agency (MHRA), [Link], Veterinary Medicines Directorate
(VMD), [Link], and the Department of Health and Social
Care, [Link]. Marketing communications for those products must comply with the
rules and professional codes of conduct of relevant professional bodies.

Scope

The rules in the first part of this section apply to all marketing communications for medicines,
medical devices, treatments, health-related products and beauty products. The rules in
subsequent parts apply to marketing communications for specific products and/or services. If
relevant, the rules in this section also apply to claims for products for animals.

As they could apply to medicinal products for human use, the rules should be read in
conjunction with the relevant sections of the Human Medicines Regulations 2012 (as
amended). This is particularly the case in relation to the definition of a marketing
communication. Rules in this section apply to marketing communications, as set out in the
Scope of the Code, that are also subject to the Regulations. Other activities defined as
advertising in the Human Medicines Regulations 2012 that are outside the remit of the Code,
specifically those listed in Regulation 7(2), are not covered by this section.

As they could apply to medicines for veterinary use, the rules should be read in conjunction
with the Veterinary Medicines Regulations. For more information about how veterinary
medicines can be advertised, please refer to:

[Link]

Law

Title VIII of European Directive 2001/83/EC (as amended) concerns "The Advertising of
Medicinal Products for Human Use" and has been implemented in the UK by the Human
Medicines Regulations 2012. The ASA is obliged to consider complaints about breaches of
Regulations 286 to 290, which have been incorporated into these rules. With the introduction
of new or changed products, diverse licensing requirements and changes in medical opinion,

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MEDICINES, MEDICAL DEVICES, HEALTH-RELATED PRODUCTS AND BEAUTY PRODUCTS

this Code cannot provide a complete guide to all requirements for health claims or the
advertising of products or classes of medicines and treatments.

Advertisements for products subject to licensing under the Human Medicines Regulations
2012 (as amended) must comply with the requirements of the Regulations and any conditions
contained in the marketing authorisation, certificate, licence or traditional herbal registration
for the advertised product.

For more information on medicinal products and treatments, see the MHRA's guidance, The
Blue Guide: Advertising and promotion of medicines in the UK at:

[Link]

The rules governing the advertising of medicines, treatments, medical devices and health
claims are set out below; they apply also to advertisements for veterinary products and
services. Directive 2001/82/EC on the Community code relating to veterinary medicinal
products (as amended by Directive 2004/28/EC), which has been implemented in the UK via
The Veterinary Medicines Regulations, contains provisions relating to the advertising of such
products. The Veterinary Medicines Regulations are revoked and remade regularly. For more
information about how veterinary medicines can be advertised, please refer to:

[Link]

In Great Britain, medical devices are currently regulated under the Medical Devices
Regulations 2002 (SI 2002 No 618, as amended) (UK MDR 2002), which transpose into UK
law, the directives: Directive 90/385/EEC on active implantable medical devices; Directive
93/42/EEC on medical devices; and Directive 98/79/EC on in vitro diagnostic medical devices.

Under the terms of the Northern Ireland Protocol following the UK’s withdrawal from the
European Union on 31 January 2020, certain products on the Northern Ireland market,
including medical devices, are required to comply with relevant EU legislation as well as with
UK law. The EU Medical Devices Regulation (2017/745) took effect in Northern Ireland,
subject to transitional provisions, on 26 May 2021; the EU in vitro Diagnostics Medical
Devices Regulation (2017/746) took effect in Northern Ireland from 26 May 2022.

The MHRA is the body responsible for ensuring medical devices in the UK meet the
applicable standards of safety, quality and efficacy. From 1 July 2023, medical devices placed
on the Great Britain market will be required to bear a UK Conformity Assessed (UKCA)
marking to attest that they conform to the regulatory requirements. Manufacturers can affix a
UKCA marking on a voluntary basis ahead of this date so long as the relevant regulatory

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MEDICINES, MEDICAL DEVICES, HEALTH-RELATED PRODUCTS AND BEAUTY PRODUCTS

requirements have been met. Where third party conformity assessment is required for the
UKCA marking, a UK Approved Body must be used. Devices that have been CE marked in
conformance with the relevant EU legislation will be unilaterally accepted on the Great Britain
market until 30 June 2023. Where third party conformity assessment is required for the CE
marking, an EU-recognised Notified Body must be used. The UKCA marking is valid in Great
Britain only and a CE marking continues to be required for the Northern Ireland market. For
more information about the transitional arrangements relating to conformity marking, please
refer to the following MHRA guidance: [Link]
devices-in-the-uk.

Marketers are strongly urged to take legal advice about relevant requirements applicable,
including conformity marking and third party conformity assessment bodies, for medical
devices placed on the markets for Great Britain and Northern Ireland, and to have due regard
to available guidance from the MHRA, including the following:

[Link]

[Link]

[Link]

Definition

For the purposes of this Code, "licence" includes certificate, authorisation or registration.

"Applicable conformity marking" means conformity marking required by legislation set out
earlier this section, under "Law".

“Disease” includes any injury, ailment or adverse condition, whether of body or mind.

For more information, see CAP Help Notes, especially those on: Substantiation for Health,
Beauty and Slimming Claims; Health, Beauty and Slimming Advertisements that Refer to
Medical Conditions; Cosmetic Surgery Marketing and Use of Experts by the ASA and CAP.

Rules
12.1 Objective claims must be backed by evidence, if relevant consisting of trials
conducted on people. Substantiation will be assessed on the basis of the
available scientific knowledge.

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MEDICINES, MEDICAL DEVICES, HEALTH-RELATED PRODUCTS AND BEAUTY PRODUCTS

Medicinal or medical claims and indications may be made for a medicinal

product that is licensed by the MHRA, VMD or under the auspices of the EMA,
or for a medical device with the applicable conformity marking. A medicinal
claim is a claim that a product or its constituent(s) can be used with a view to
making a medical diagnosis or can treat or prevent disease in human beings.

Secondary medicinal claims made for cosmetic products as defined in the

appropriate European legislation must be backed by evidence. These are
limited to any preventative action of the product and may not include claims to
treat disease.

12.2 Marketers must not discourage essential treatment for conditions for which
medical supervision should be sought. For example, they must not offer specific
advice on, diagnosis of or treatment for such conditions unless that advice,
diagnosis or treatment is conducted under the supervision of a suitably qualified
health professional. Accurate and responsible general information about such
conditions may, however, be offered (see rule 12.11).

Health professionals will be deemed suitably qualified only if they can provide
suitable credentials, for example, evidence of: relevant professional expertise or
qualifications; systems for regular review of members' skills and competencies
and suitable professional indemnity insurance covering all services provided;
accreditation by a professional or regulatory body that has systems for dealing
with complaints and taking disciplinary action and has registration based on
minimum standards for training and qualifications.

12.2.1 Marketing communications for medicinal products must not offer to provide a
diagnosis or suggest a treatment by correspondence, for instance, by post, by
e-mail or by other means of an electronic communications network.

12.3 Marketers offering individual treatments, especially those that are physically
invasive, may be asked by the media and the ASA to provide full details
together with information about those who supervise and administer them.
Practitioners must have relevant and recognised qualifications. Marketers
should encourage consumers to take independent medical advice before
committing themselves to significant treatments, including those that are
physically invasive.

12.4 Marketers must not confuse consumers by using unfamiliar scientific words for
common conditions.

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MEDICINES, MEDICAL DEVICES, HEALTH-RELATED PRODUCTS AND BEAUTY PRODUCTS

12.5 Marketers inviting consumers to diagnose their minor ailments must not make
claims that might lead to a mistaken diagnosis.

12.6 Marketers should not falsely claim that a product is able to prevent or treat
disease or a malformation; restore, correct or modify a physiological function; or
modify a person’s appearance.*
(This rule reflects a prohibited practice from Schedule 20 of the DMCCA. See
note in Section 3 for more details).

12.7 References to the relief of symptoms or the superficial signs of ageing are
acceptable if they can be substantiated. Unqualified claims such as "cure" and
"rejuvenation" are not generally acceptable, especially for cosmetic products.

12.8 Marketers must hold proof before claiming or implying that a minor addiction or
a bad habit can be treated without effort from those suffering.

12.9 Marketers must not encourage consumers to use a product to excess and must
hold proof before suggesting their product or therapy is guaranteed to work,
absolutely safe or without side-effects (subject to rule 12.19).

12.10 Marketing communications must not suggest that any product is safe or
effective merely because it is "natural" or that it is generally safer because it
omits an ingredient in common use.

Medicines

Title VIII of European Directive 2001/83/EC (as amended) concerns "The Advertising of
Medicinal Products for Human Use" and has been implemented in the UK by the Human
Medicines Regulations 2012 (as amended). Advertisements for products subject to licensing
under the Human Medicines Regulations 2012 must comply with the requirements of the
Regulations and any conditions contained in the marketing authorisation, certificate, licence
or traditional herbal registration for the advertised product.

For more information on the advertising of medicinal products, see the MHRA's guidance, The
Blue Guide: Advertising and promotion of medicines in the UK at:

[Link]

For more information on medical treatments, go to: [Link].

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MEDICINES, MEDICAL DEVICES, HEALTH-RELATED PRODUCTS AND BEAUTY PRODUCTS

Advertisements for products subject to authorisation under the Veterinary Medicines

Regulations must comply with the requirements of the Regulations and any conditions
contained in the marketing authorisation, certificate or registration for the advertised product.

For more information about how veterinary medicines can be advertised, please refer to:

[Link]

12.11 Medicines must have a licence from the MHRA, VMD or under the auspices of
the EMA before they are marketed. Marketing communications for medicines
must conform with the licence and the product's summary of product
characteristics. For the avoidance of doubt, by conforming with the product's
indicated use, a marketing communication would not breach rule 12.2.

Marketing communications must not suggest that a product is "special" or

"different" because it has been granted a licence by the MHRA, VMD or under
the auspices of the EMA.

12.12 Prescription-only medicines or prescription-only medical treatments may not be

advertised to the public.

12.13 Marketing communications which include a product claim for a medicinal

product (including legible on-pack product claims within a pack shot) must
include the name of the product, an indication of what it is for, text such as
"Always read the label" and the common name of the sole active ingredient, if it
contains only one.

Marketing communications for a traditional herbal medicinal product or a

homeopathic medicinal product must include mandatory information, which can
be found in the MHRA's guidance, The Blue Guide: Advertising and promotion
of medicines in the UK at:

[Link]
promoting-medicines.

12.14 Marketing Communications for medicinal products must not:

12.14.1 use, in improper, alarming or misleading terms, images of changes in the

human body caused by disease, injury or a medicinal product

12.14.2 refer, in improper, alarming or misleading terms, to claims of recovery

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MEDICINES, MEDICAL DEVICES, HEALTH-RELATED PRODUCTS AND BEAUTY PRODUCTS

12.14.3 suggest that using or avoiding a product can affect normal health

12.14.4 present a description or detailed representation of a case history that might lead
to erroneous self-diagnosis.

12.15 Illustrations of the effect or action of a product should be accurate.

12.16 Marketing communications for a medicine must not be addressed to children.

12.17 Marketers must not suggest that a medicinal product is either a food or a
cosmetic.

12.18 Marketers must not use health professionals or celebrities to endorse

medicines.

12.19 Marketing communications for a medicine may not claim that its effects are
guaranteed, that it is absolutely safe or without side-effects or as good as or
better than those of another identifiable product.

12.20 Homeopathic medicinal products must be registered in the UK. Any product
information given in the marketing communication should be confined to what
appears on the label. Marketing communications must include a warning to
consult a doctor if symptoms persist. Marketing communications for an
unlicensed product must not make a medicinal or therapeutic claim or refer to
an ailment unless authorised by the MHRA to do so.

12.21 Marketers of traditional herbal medicines may advertise for the indications listed
in the product's summary of product characteristics and must include
mandatory information, which can be found in the MHRA's guidance, The Blue
Guide: Advertising and promotion of medicines in the UK at:

[Link]
promoting-medicines.

Marketing communications for products that hold a Traditional Herbal Medicines

Registration must not imply that registration is based upon clinical trials.

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MEDICINES, MEDICAL DEVICES, HEALTH-RELATED PRODUCTS AND BEAUTY PRODUCTS

Cosmetics
12.22 Claims made about the action that a cosmetic has on or in the skin should
distinguish between the composition of the product and any effects brought
about by the way in which it is applied, such as massage. Scientific evidence
must also make that distinction.

12.22.1 Some cosmetics have an effect on the type of skin changes that are caused by
environmental factors. Marketing communications for them may therefore refer
to temporarily preventing, delaying or masking premature ageing.

Hair and Scalp

12.23 Marketers must be able to provide scientific evidence, if relevant consisting of
trials conducted on people, for any claim that their product or therapy can
prevent baldness or slow it down, arrest or reverse hair loss, stimulate or
improve hair growth, nourish hair roots, strengthen the hair or improve its health
as distinct from its appearance.

Services offering advice on unplanned pregnancy

12.24 Marketing communications for services offering advice on unplanned
pregnancy must make clear if the service does not refer women directly for a
termination. Given that terminations are lawful only in some circumstances, and
are subject to particularly stringent requirements in Northern Ireland, marketers
may wish to seek legal advice.

Cosmetic interventions
12.25 Marketing communications for cosmetic interventions must not be directed at
those aged below 18 years through the selection of media or context in which
they appear.

Cosmetic interventions mean any intervention, procedure or treatment carried

out with the primary objective of changing an aspect of a consumer’s physical
appearance. This includes surgical and non-surgical interventions, both
invasive and non-invasive. This does not include cosmetic products as defined
in Regulation (EC) No 1223/2009. See Advertising Guidance: Cosmetic
Interventions.

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WEIGHT CONTROL AND SLIMMING

13
WEIGHT CONTROL AND
SLIMMING
WEIGHT CONTROL AND SLIMMING

Background

The rules in this section are designed to ensure that marketing communications for slimming
and weight control products receive the necessary high level of scrutiny.

See CAP Slimming Guidelines for Press Advertisements.

Definition

This section applies to marketing communications for weight control and slimming foodstuffs,
aids (including exercise products that make weight-loss or slimming claims), clinics and other
establishments, diets, medicines, treatments and the like. If applicable, they must comply with
Section 12: Medicines, Medical Devices, Health-related Products and Beauty Products and
Section 15: Food, Food Supplements and Associated Health or Nutrition Claims).

Rules
13.1 A weight-reduction regime in which the intake of energy is lower than its output
is the most common self-treatment for achieving weight reduction. Any claim
made for the effectiveness or action of a weight-reduction method or product
must be backed, if applicable, by rigorous trials on people; testimonials that are
not supported by trials do not constitute substantiation.

13.2 Obesity in adults is defined by a Body Mass Index (BMI) of more than 30
kg/m2. Obesity is frequently associated with a medical condition and, except
where stated in 13.2.1, a treatment for it must not be advertised to the public
unless it is to be used under suitably qualified supervision. Non-prescription
medicines that are indicated for the treatment of obesity and that require the
involvement of a pharmacist in the sale or supply of the medicine may
nevertheless be advertised to the public.

13.2.1 Lifestyle weight management programmes which meet the following standards
may make responsible references to obesity in their marketing communications.
These programmes must:

be shown to be effective at 12 months or beyond

last at least three months
be multi-component; addressing dietary intake, physical activity levels
and behaviour change
be developed by a multi-disciplinary team; including input from a
registered dietician, registered practitioner psychologist and a qualified
physical activity instructor, and

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WEIGHT CONTROL AND SLIMMING

be provided by staff who are trained to deliver the programme in

question.

Marketers should have regard to the guidance on "Managing overweight and

obesity in adults – lifestyle weight management services" published by the
National Institute for Health and Care Excellence (NICE).

13.3 Marketing communications for any weight-reduction regime or establishment

must neither be directed at nor contain anything that is likely to appeal
particularly to people who are under 18 or those for whom weight reduction
would produce a potentially harmful body weight (BMI of less than 18.5 kg/m2).
Those marketing communications must not suggest that being underweight is
desirable or acceptable.

13.4 Before they make claims for a weight-reduction aid or regimen, marketers must
show that weight-reduction is achieved by loss of body fat. Combining a diet
with an unproven weight-reduction method does not justify making weight-
reduction claims for that method.

13.5 Marketers must be able to show that their diet plans are nutritionally well-
balanced (except for producing a deficit of energy) and that must be assessed
in relation to the category of person who would use them.

13.6 Vitamins and minerals do not contribute to weight reduction but may be offered
to slimmers as a safeguard against any shortfall in recommended intake when
dieting.

13.7 Marketers promoting Very Low Calorie Diets or other diets that fall below 800
kilo-calories a day must do so only for short-term use and must encourage
users to take medical advice before embarking on them. Marketers should have
regard to the guidance on "Obesity: the prevention, identification, assessment
and management of overweight and obesity in adults and children" (2006)
published by the National Institute for Health and Care Excellence.

13.8 Marketing communications for diet aids must make clear how they work.
Prominence must be given to the role of the diet and marketing
communications must not give the impression that dieters cannot fail or can eat
as much as they like and still lose weight.

13.9 Marketing communications must not contain claims that people can lose
precise amounts of weight within a stated period or, except for marketing

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WEIGHT CONTROL AND SLIMMING

communications for surgical clinics, establishments and the like that comply
with rule 12.3, that weight or fat can be lost from specific parts of the body.

13.9.1 Marketing communications for surgical clinics, establishments and the like that
comply with rule 12.3 must not refer to the amount of weight that can be lost.

13.10 Claims that an individual has lost an exact amount of weight must be
compatible with good medical and nutritional practice. Those claims must state
the period involved and must not be based on unrepresentative experiences.
For those who are normally overweight, a rate of weight loss greater than 2 lbs
(just under 1 kg) a week is unlikely to be compatible with good medical and
nutritional practice. For those who are obese, a rate of weight loss greater than
2 lbs a week in the early stages of dieting could be compatible with good
medical and nutritional practice.

13.10.1 Health claims in marketing communications for food products that refer to a rate
or amount of weight loss are not permitted.

13.11 Resistance and aerobic exercise can improve muscular condition and tone and
that can improve body shape and posture. Marketers must be able to
substantiate any claim that such methods used alone or in conjunction with a
diet plan can lead to weight or inch reduction. Marketing communications for
intensive exercise programmes should encourage users to check with a doctor
before starting.

13.12 Short-term loss of girth may be achieved by wearing a tight-fitting garment. That
loss must not be portrayed as permanent or confused with weight or fat
reduction.

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FINANCIAL PRODUCTS

14
FINANCIAL PRODUCTS
FINANCIAL PRODUCTS

Background

Marketers must have regard to the financial promotion restriction in Section 21 of the
Financial Services and Markets Act 2000 and in the Financial Services and Markets Act 2000
(Financial Promotion) Order 2005 (as amended), as reflected in the rules and guidance
issued and enforced by the Financial Conduct Authority (FCA). The scope of that legislation,
rules and guidance extends to marketing communications for: investments and investment
advice; deposit taking (for example, banking); home finance transactions (regulated
mortgages, home purchase plans and home finance plans); general insurance and pure
protection policies (for example, term assurance). The FCA is responsible for the regulation of
first-charge mortgage lending and selling, as well as certain secured loans and the activities
of insurance intermediaries. The FCA does not provide pre-publication advice on proposed
financial marketing communications; technical guidance is available on specific matters or
rule interpretation only. For more information, contact the FCA (see [Link]).

The FCA also regulates other consumer loans under FSMA, the Consumer Credit Act 1974
(as amended), the Consumer Credit Act 2006 and the FCA's Consumer Credit sourcebook
(CONC). CONC Chapter 3 requires financial promotions concerning consumer credit, among
other more detailed requirements, to be "clear, fair and not misleading".

Debt management companies must ensure they comply with the financial promotions
requirements imposed by FSMA and the FCA's rules set out in Chapter 3 of CONC. The rules
that follow apply to financial marketing communications that are not regulated by the FCA and
to marketing communications for debt advice. All financial marketing communications are,
however, subject to Code rules that cover non-technical elements of communications; for
example, serious or widespread offence, social responsibility and the truthfulness of claims
that do not relate to specific characteristics of financial products.

Rules
14.1 Offers of financial products must be set out in a way that allows them to be
understood easily by the audience being addressed. Marketers must ensure
that they do not take advantage of consumers' inexperience or credulity.

14.2 Marketing communications should state the nature of the contract being
offered, any limitation, expense, penalty or charge and the terms of withdrawal.
Alternatively, if a marketing communication is short or general in its content,
free material explaining the offer must be made readily available to consumers
before a binding contract is entered into.

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FINANCIAL PRODUCTS

14.3 The basis used to calculate any rate of interest, forecast or projection must be
apparent immediately.

14.4 Marketing communications must make clear that the value of investments is
variable and, unless guaranteed, can go down as well as up. If the value of the
investment is guaranteed, the marketing communication must explain the
guarantee.

14.5 Marketing communications should make clear that past performance or

experience does not necessarily give a guide for the future; if they are used in
marketing communications, examples of past performance or experience
should not be unrepresentative.

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

15
FOOD, FOOD SUPPLEMENTS
AND ASSOCIATED HEALTH OR
NUTRITION CLAIMS
FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

Principle

Public health policy increasingly emphasises good dietary behaviour and an active lifestyle as
a means of promoting health. Commercial product advertising cannot reasonably be expected
to perform the same role as education and public information in promoting a varied and
balanced diet but should not undermine progress towards national dietary improvement by
misleading or confusing consumers.

Background

These rules apply to all marketing communications for food products, and must be read in
conjunction with the relevant legislation.

In July 2007, a Regulation of the European Parliament and of the Council of the European
Union on nutrition and health claims made on foods (the NHCR) came into force; as a
Regulation, the NHCR is directly applicable in EU Member States. The NHCR seeks to
protect consumers from misleading or false claims by prescribing specific conditions of use
associated with authorised health and nutrition claims, which are determined at a European
level. The EU Register of nutrition and health claims (the EU Register) lists all authorised
nutrition and health claims as well as non-authorised health claims that have been rejected.

Following the UK’s departure from the EU on 31 January 2020, the UK entered a time-limited
transition period until 31 December 2020. Following the end of the transition period, regulation
of nutrition and health claims for foods became an autonomous matter for both Great Britain
and the EU as two separate legal and regulatory systems.

From 1 January 2021, European Regulations (including the NHCR) and tertiary legislation
relating to nutrition were retained under the powers contained within the European Union
(Withdrawal) Act 2018 as domestic law. That retained EU legislation was subsequently
amended by the Nutrition (Amendment etc.) (EU Exit) Regulations 2019 and the Nutrition
(Amendment etc.) (EU Exit) Regulations 2020. These Regulations transferred responsibilities
from EU organisations involved in the risk assessment and risk management processes
covered by nutrition legislation to appropriate authorities and bodies in Great Britain, and
gave effect to the Protocol on Ireland / Northern Ireland (the NIP) in respect of nutrition
labelling, composition and standards. This legislation also led to the creation of the Great
Britain nutrition and health claims register (the GB Register), which replaced the EU Register
for health and nutrition claims made in Great Britain from 1 January 2021. However,
Regulations listed in Annex 2 to the NIP also apply to, and in, the United Kingdom in respect

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

of Northern Ireland. Consequently, the EU Register continues to apply to nutrition and health
claims made in Northern Ireland.

In these rules, the term “applicable register” is used to refer to the EU Register and / or the
GB Register, and the register or registers which apply to a particular marketing
communication will be determined with reference to the legislation set out earlier in this
section. Updated versions of both registers are available here:

EU Register

GB Register

CAP urges marketers to take legal advice on the effect of the legislation set out in this section,
as well as any other relevant legislation (for example, the Food Safety Act 1990 and the Food
Information Regulations 2014), and to consider the Department of Health and Social
Care’s Guidance on nutrition and health claims on foods.

Definitions

For the purposes of the rules in this section:

'Nutrition claim' means any claim which states, suggests or implies that a food has particular
beneficial nutritional properties due to:

(a) the energy (calorific value) it provides; provides at a reduced or increased rate;
or does not provide; and/or

(b) the nutrients or other substances it contains; contains in reduced or increased

proportions; or does not contain;

'Health claim' means any claim that states, suggests or implies that a relationship exists
between a food category, a food or one of its constituents and health.

'Reduction of disease risk claim' means any health claim that states, suggests or implies that
the consumption of a food category, a food or one of its constituents significantly reduces a
risk factor in the development of a human disease.

References to food apply also to drink products.

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

Rules

These rules should be read in conjunction with other rules in this Code, especially Section 5:
Children and Section 13: Weight Control and Slimming.

General
15.1 Marketing communications that contain nutrition or health claims must be
supported by documentary evidence to show they meet the conditions of use
associated with the relevant claim, as specified in the applicable register.
Claims must be presented clearly and without exaggeration.

15.1.1 Only nutrition claims listed in the applicable register may be used in marketing
communications.

Only health claims listed as authorised in the applicable register, or claims that
would have the same meaning to the consumer, may be used in marketing
communications.

15.2 References to general benefits of a nutrient or food for overall good health or
health-related well-being are acceptable only if accompanied by a specific
authorised health claim.

15.3 Comparative nutrition claims must compare the difference in the claimed
nutrient to a range of foods of the same category which do not have a
composition which allows them to bear a nutrition claim.

15.3.1 A marketing communication may use one product as the sole reference for
comparison only if that product is representative of the products in its category.

15.3.2 The difference in the quantity of a nutrient or energy value must be stated in the
marketing communication and must relate to the same quantity of food.

15.4 Marketing communications must not condone or encourage excessive

consumption of a food.

15.5 Marketing communications must not condone or encourage damaging oral

health care practices, especially in children.

15.6 These are not acceptable in marketing communications for products within the
remit of this section:

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

15.6.1 Claims that state or imply health could be affected by not consuming a food

15.6.2 Claims that state or imply a food prevents, treats or cures human disease.
Reduction-of disease-risk claims are acceptable if authorised on the applicable
register.

15.6.3 Health claims that refer to the recommendation of an individual health

professional. Health claims that refer to the recommendation of an association
are acceptable only if that association is a health-related charity or a national
representative body of medicine, nutrition or dietetics

15.6.4 References to changes in bodily functions that could give rise to or exploit fear
in the audience

15.6.5 Claims of a nutrition or health benefit that gives rise to doubt the safety or
nutritional adequacy of another product

15.6.6 Health claims that refer to a rate or amount of weight loss.

Food supplements and other vitamins and minerals

CAP advises marketers to ensure that claims made for dietary supplements and other
vitamins and minerals are in line with the requirements of the NHCR or other relevant
legislation.

15.7 Nutrition and health claims for food supplements must be permitted or
authorised as provided for at rule 15.1.1 above. Marketing communications that
contain nutrition or health claims must be supported by documentary evidence
to show they meet the conditions of use associated with the relevant claim as
specified in the applicable register.

15.8 Marketers must not state or imply that a balanced or varied diet cannot provide
appropriate quantities of nutrients in general. Individuals should not be
encouraged to swap a healthy diet for supplementation, and without well-
established proof, no marketing communication may suggest that a widespread
vitamin or mineral deficiency exists.

15.9 Marketing communications for foods must not claim to treat clinical vitamin or
mineral deficiency.

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

Infant and follow-on formula

The rules on infant and follow-on formula are presently under review. CAP is considering the
implications of the provisions of the Commission Delegated Regulation (EU) 2016/127 as
retained in UK law. This replaces The Infant Formula and Follow-on Formula (England)
Regulations 2007, which have been repealed.

Marketers are advised to refer to the Commission Delegated Regulation along with other
relevant food law when preparing ads. The ASA will have appropriate regard to it when
applying the rules below.

15.10 Except for those in a scientific publication or, for the purposes of trade before
the retail stage, a publication of which the intended readers are not the general
public, marketing communications for infant formula are prohibited.

15.10.1 Marketing communications must not confuse between infant formula and follow-
on formula.

Food and soft drink product marketing communications and children

Background

"HFSS products" are those food or soft drink products that are assessed as High in Fat, Salt
or Sugar in accordance with the Department of Health and Social Care's nutrient profiling
model. Information on the nutrient profiling model is now available on the Department of
Health and Social Care's website at:

the-nutrient-profiling-model

See also the Help Note for food or soft drink product advertisements and children.

Diet and lifestyle

15.11 Marketing communications must not condone or encourage poor nutritional

habits or an unhealthy lifestyle in children.

15.12 Marketing communications must not disparage good dietary practice or the
selection of options, such as fresh fruit and fresh vegetables, that accepted
dietary opinion recommends should form part of the average diet.

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

Promotional offers

15.13 Marketing communications featuring a promotional offer must be prepared with

a due sense of responsibility.

15.14 HFSS product advertisements that are targeted through their content directly at
pre-school or primary school children must not include a promotional offer.
Additionally, for children under 16:

15.14.1 Except those for fresh fruit or fresh vegetables, marketing communications
must not seem to encourage children to eat or drink a product only to take
advantage of a promotional offer: the product should be offered on its merits,
with the offer as an added incentive. Marketing communications featuring a
promotional offer must ensure a significant presence for the product

15.14.2 Marketing communications featuring a promotional offer linked to a food

product of interest to children must avoid creating a sense of urgency or
encouraging the purchase of an excessive quantity for irresponsible
consumption

15.14.3 Marketing communications must not encourage children to eat more than they
otherwise would

15.14.4 Marketing communications for collection-based promotions must not seem to

urge children or their parents to buy excessive quantities of food.

Licensed characters and celebrities

15.15 Licensed characters and celebrities popular with children must be used with a
due sense of responsibility. HFSS product advertisements that are targeted
directly at pre-school or primary school children through their content must not
include licensed characters or celebrities popular with children. For the
avoidance of doubt, that prohibition applies to food or drink advertisements
only.

The prohibition does not apply to advertiser-created equity brand characters

(puppets, persons or characters), which may be used by advertisers to sell the
products they were designed to sell.

Licensed characters and celebrities popular with children may present factual
and relevant generic statements about nutrition, safety, education or similar.

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

Pressure to purchase

15.16 Although children might be expected to exercise some preference over the food
they eat or drink, marketing communications must be prepared with a due
sense of responsibility and must not directly advise or ask children to buy or to
ask their parents or other adults to make enquiries or purchases for them (see
rule 5.4.2).

15.16.1 Marketing communications must neither try to sell to children by directly

appealing to emotions such as pity, fear or self-confidence nor suggest that
having the advertised product somehow confers superiority; for example,
making a child more confident, clever, popular or successful.

15.16.2 Marketing communications addressed to children must not urge children to buy
or persuade others to buy and must avoid high-pressure or hard-sell
techniques. Nothing must suggest that children could be bullied, cajoled or
otherwise put under pressure to acquire the advertised item.

15.16.3 Products or prices must not be presented in marketing communications in a

way that suggests children or their families can easily afford them.

Nutrition claims and health claims

15.17 Claims referring to children's development and health are acceptable if

authorised on the applicable register.

HFSS Product Ad Placement

15.18 HFSS product advertisements must not be directed at people under 16 through
the selection of media or the context in which they appear. No medium should
be used to advertise HFSS products, if more than 25% of its audience is under
16 years of age.

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GAMBLING

16
GAMBLING
GAMBLING

Principle

The rules in this section are designed to ensure that marketing communications for gambling
are socially responsible, with particular regard to the need to protect children, young persons
and other vulnerable persons from being harmed or exploited.

Background

"Gambling" for the purposes of this section covers:

gaming, betting and other activities defined as gambling by the Gambling Act 2005 (as
amended); and
spread betting as defined in financial services legislation.

Rules on marketing communications for lotteries are set out separately in Section 17.

The legal framework for gambling in Great Britain, including the requirements for licensing
gambling operators, is set out in the Gambling Act 2005 (as amended). The Gambling
Commission regulates commercial gambling and permits gambling on the basis that the
licensing objectives to keep gambling safe, fair and crime out, are met.

To advertise in Great Britain, and to advertise remote gambling in Northern Ireland, gambling
operators must comply with the relevant licensing requirements set out in statutes. The ASA
will refer marketing communications for unlicensed operators to the Gambling Commission.
The Gambling Commission’s Licence Conditions and Codes of Practice make it a direct
requirement on licensed operators to ensure their marketing communications comply with the
UK Advertising Codes.

The Gambling Act 2005 and Gambling (License & Marketing) Act 2014 apply to Great Britain
and Northern Ireland for remote gambling.

Specialist legal advice should be sought when considering advertising any gambling product
in Northern Ireland, the Channel Islands or the Isle of Man. The ASA will cooperate with the
relevant authorities to address complaints relating to these jurisdictions.

Spread betting may be advertised as an investment under the Financial Services and Markets
Act 2000 (as amended) (FSMA), the Financial Services and Markets Act 2000 (Financial
Promotion) Order 2005 (as amended) and other Financial Conduct Authority (FCA) rules and
guidance (see Background, Section 14, Financial Products). A "spread bet" is a contract for
difference that is a gaming contract, as defined in the glossary to the FCA Handbook.

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GAMBLING

Scope

Unless otherwise stated, the rules in this section apply to marketing communications by:

gambling operators licensed in Great Britain that are likely to have the effect of
promoting gambling; and
firms authorized to provide spread betting products.

This includes marketing by third parties (for example, affiliate marketers) acting on an
advertiser’s behalf.

Although they do not apply to marketing communications for non-gambling operators, the ASA
may draw on the principles established in the rules to assess whether ads for products likely
to encourage gambling (for example, betting tipsters) meet the standards required by the
general social responsibility provisions of the Code (see Section 1).

The rules are not intended to inhibit marketing communications by non-gambling operators
that aim to counter problem gambling provided they are responsible and unlikely to promote a
brand or type of gambling. Safer gambling messaging and marketing by gambling operators
must comply with the rules.

Unless they portray or refer to gambling, this section does not apply to marketing
communications for non-gambling leisure events or facilities, for example, hotels, cinemas,
bowling alleys or ice rinks, that are in the same complex as, but separate from, gambling
events or facilities.

For the purposes of this section, "children" are people of 15 and under and "young persons"
are people aged 16 or 17.

Rules
16.1 Marketing communications for gambling must be socially responsible, with
particular regard to the need to protect children, young persons and other
vulnerable persons from being harmed or exploited.

16.2 In line with rule 1.2, the spirit as well as the letter of the rules in this section
apply whether or not a gambling product is shown or referred to.

16.3 Marketing communications must not:

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GAMBLING

16.3.1 portray, condone or encourage gambling behaviour that is socially irresponsible

or could lead to financial, social or emotional harm

16.3.2 exploit the susceptibilities, aspirations, credulity, inexperience or lack of

knowledge of children, young persons or other vulnerable persons

16.3.3 suggest that gambling can provide an escape from personal, professional or
educational problems such as loneliness or depression

16.3.4 suggest that gambling can be a solution to financial concerns, an alternative to

employment or a way to achieve financial security

16.3.5 portray gambling as indispensable or as taking priority in life; for example, over
family, friends or professional or educational commitments

16.3.6 suggest that gambling can enhance personal qualities, for example, that it can
improve self-image or self-esteem, or is a way to gain control, superiority,
recognition or admiration

16.3.7 suggest peer pressure to gamble nor disparage abstention

16.3.8 link gambling to seduction, sexual success or enhanced attractiveness

16.3.9 portray gambling in a context of toughness or link it to resilience or

recklessness

16.3.10 suggest gambling is a rite of passage

16.3.11 suggest that solitary gambling is preferable to social gambling

16.3.12 be likely to be of strong appeal to children or young persons, especially by

reflecting or being associated with youth culture.

They must not include a person or character whose example is likely to be

followed by those aged under 18 years or who has a strong appeal to those
aged under 18.

Where appropriate steps have been taken to limit the potential for an
advertisement to appeal strongly to under-18s, this rule does not prevent the
advertising of gambling products associated with activities that are themselves
of strong appeal to under-18s (for instance, certain sports or playing video
games).

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CAP has published guidance on the application of the rule, including for
advertising of gambling products associated with activities that are themselves
of strong appeal to under-18s.

16.3.13 be directed at those aged below 18 years (or 16 years for football pools, equal-
chance gaming [under a prize gaming permit or at a licensed family
entertainment centre], prize gaming [at a non-licensed family entertainment
centre or at a travelling fair] or Category D gaming machines) through the
selection of media or context in which they appear

16.3.14 include a child or a young person. No-one who is, or seems to be, under 25
years old may be featured gambling or playing a significant role. No-one may
behave in an adolescent, juvenile or loutish way.

Individuals who are, or seem to be under 25 years old (18-24 years old) may be
featured playing a significant role only in marketing communications that appear
in a place where a bet can be placed directly through a transactional facility, for
instance, a gambling operator's own website. The individual may only be used
to illustrate specific betting selections where that individual is the subject of the
bet offered. The image or other depiction used must show them in the context
of the bet and not in a gambling context.

16.3.15 exploit cultural beliefs or traditions about gambling or luck

16.3.16 condone or encourage criminal or anti-social behaviour

16.3.17 condone or feature gambling in a working environment. An exception exists for

licensed gambling premises.

16.4 Marketing communications for family entertainment centres, travelling fairs,

horse racecourses and dog race tracks, and for non-gambling leisure facilities
that incidentally refer to separate gambling facilities, for example, as part of a
list of facilities on a cruise ship, may include children or young persons provided
they are accompanied by an adult and are socialising responsibly in areas that
the Gambling Act 2005 (as amended) does not restrict by age.

16.5 Marketing communications for events or facilities that can be accessed only by
entering gambling premises must make that condition clear.

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LOTTERIES

17
LOTTERIES
LOTTERIES

Principle

The rules in this section are designed to ensure that marketing communications for lotteries
are socially responsible, with particular regard to the need to protect children, young persons
under 18 and other vulnerable persons from being harmed or exploited by advertising that
features or promotes lotteries. It should be noted, however, that although the minimum age
limit for purchasing National Lottery products is 18, the minimum age limit for participation in
society lotteries is 16.

This section applies to the marketing communications of the National Lottery and 'large'
society lotteries licensed and regulated by the Gambling Commission and, in the case of
'small' society lotteries, those promoters registered with local authorities in England and
Wales or licensing boards in Scotland.

This section also applies to marketing communications for lottery products that are licensed
and regulated by the Gambling Commission for National Lottery products.

The UK National Lottery may be advertised under The National Lottery etc Act 1993 (as
amended). Society lotteries are promoted under the requirements of the Gambling Act 2005.

Rules
17.1 Marketing communications must not portray, condone or encourage gambling
behaviour that is socially irresponsible or could lead to financial, social or
emotional harm.

17.2 Marketing communications must not suggest that participating in a lottery can
provide an escape from personal, professional or educational problems such as
loneliness or depression.

17.3 Marketing communications must not suggest that participating in a lottery can
be a solution to financial concerns, an alternative to employment or a way to
achieve financial security. Advertisers may, however, refer to other benefits of
winning a prize.

17.4 Marketing communications must not portray participating in a lottery as

indispensable or as taking priority in life; for example, over family, friends or
professional or educational commitments.

17.5 Marketing communications must neither suggest peer pressure to participate

nor disparage abstention.

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LOTTERIES

17.6 Marketing communications must not suggest that participating in a lottery can
enhance personal qualities, for example, that it can improve self-image or self-
esteem, or is a way to gain control, superiority, recognition or admiration.

17.7 Marketing communications must not link participating in a lottery to seduction,

sexual success or enhanced attractiveness.

17.8 Marketing communications must not portray participation in a context of

toughness or link it to resilience or recklessness.

17.9 Marketing communications must not suggest participation is a rite of passage.

17.10 Marketing communications must not suggest that solitary gambling is preferable
to social gambling.

17.11 Marketing communications for lotteries that can be participated in only by

entering gambling premises must make that condition clear.

17.12 Marketing communications for lotteries must not exploit the susceptibilities,
aspirations, credulity, inexperience or lack of knowledge of children, young
persons or other vulnerable persons.

17.13 Marketing communications for lotteries must not be likely to be of strong appeal
to children or young persons, especially by reflecting or being associated with
youth culture. They must not include a person or character whose example is
likely to be followed by those aged under 18 years or who has a strong appeal
to those aged under 18.

Where the subject of a lotteries product (for example, good causes benefitting
from lottery funds) or features of the product itself (for example, the creative
content, gameplay or a prize involved) are of strong appeal to under-18s, a
marketing communication for that lottery may depict the subject and/or product,
but it must not feature a person or character whose example is likely to be
followed by those aged under 18 years or who has a strong appeal to those
aged under 18.

Lotteries marketing communications that solely depict the good causes

supported by the lottery may include persons or characters whose example is
likely to be followed by those aged under 18 years or who has a strong appeal
to those aged under 18 provided that:

they are directly associated with the lottery good cause (for example, an
athlete who has received lottery funding directly);

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 94

LOTTERIES

there is no explicit encouragement to purchase a lottery product; and

there is no reference to scratchcards or online instant-win lottery
products.

Lotteries marketing communications including product references that comply

with rule 17.16.2 are also acceptable.

17.14 ​ arketing communications for lotteries should not be directed at those aged
M
under 16 years (or 18 years for National Lottery products) through the selection
of media or context in which they appear.

17.15 Marketing communications for lotteries must not feature anyone who is, or
seems to be, under 25 years old participating in gambling.

17.16 Marketing communications for lotteries which include any reference to

scratchcards or online instant-win lottery products must not feature anyone who
is, or seems to be, under 25 years old in a significant role. Other
advertisements for lotteries must not feature anyone who is, or seems to be,
under 25 years old in a significant role unless either:

17.16.1 they are featured solely to depict the good causes supported by the lottery and
there is no explicit encouragement to purchase a lottery product; or

17.16.2 they are representative of the primary beneficiaries of the lottery and the lottery
primarily benefits under-25s (including in a family setting).

17.17 Marketing communications for lotteries must not exploit cultural beliefs or
traditions about gambling or luck.

17.18 Marketing communications for lotteries must not condone or encourage criminal
or antisocial behaviour.

17.19 Marketing communications for lotteries must not condone or feature gambling in
a working environment (an exception exists for workplace lottery syndicates
and gambling premises).

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 95

ALCOHOL

18
ALCOHOL
ALCOHOL

Principle

Marketing communications for alcoholic drinks should not be targeted at people under 18 and
should not imply, condone or encourage immoderate, irresponsible or anti-social drinking.

The spirit as well as the letter of the rules applies.

Definition

The rules in this section apply to marketing communications for alcoholic drinks and
marketing communications that feature or refer to alcoholic drinks, including where a soft
drink is promoted as a mixer. For the purposes of applying these rules, alcoholic drinks are
defined as drinks containing more than 0.5% alcohol; low-alcohol drinks are defined as drinks
containing more than 0.5% and up to and including 1.2% alcohol. Where an ad for a drink at
or below 0.5% has the effect of promoting an alcoholic drink, these rules apply in full.

These rules are not intended to inhibit responsible marketing communications that are
intended to counter problem drinking or tell consumers about alcohol-related health or safety
themes. Those marketing communications should not be likely to promote an alcohol product
or brand.

For the purposes of the rules in this section, the word 'drink(s)' refers to drinks with a strength
above 0.5% ABV.

Rules
18.1 Marketing communications must be socially responsible and must contain
nothing that is likely to lead people to adopt styles of drinking that are unwise.
For example, they should not encourage excessive drinking. Care should be
taken not to exploit the young, the immature or those who are mentally or
socially vulnerable.

18.2 Marketing communications must not claim or imply that alcohol can enhance
confidence or popularity.

18.3 Marketing communications must not imply that drinking alcohol is a key
component of the success of a personal relationship or social event. The
consumption of alcohol may be portrayed as sociable or thirst-quenching.

18.4 Drinking alcohol must not be portrayed as a challenge. Marketing

communications must neither show, imply, encourage or refer to aggression or

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 97

ALCOHOL

unruly, irresponsible or anti-social behaviour nor link alcohol with brave, tough
or daring people or behaviour.

18.5 Marketing communications must neither link alcohol with seduction, sexual
activity or sexual success nor imply that alcohol can enhance attractiveness.

18.6 Marketing communications must not imply that alcohol might be indispensable
or take priority in life or that drinking alcohol can overcome boredom, loneliness
or other problems.

18.7 Marketing communications must not imply that alcohol has therapeutic
qualities. Alcohol must not be portrayed as capable of changing mood, physical
condition or behaviour or as a source of nourishment. Marketing
communications must not imply that alcohol can enhance mental or physical
capabilities; for example, by contributing to professional or sporting
achievements.

18.8 Marketing communications must not link alcohol to illicit drugs.

18.9 Marketing communications may give factual information about the alcoholic
strength of a drink. They may also make a factual alcohol strength comparison
with another product, but only when the comparison is with a higher-strength
product of a similar beverage.

Marketing communications must not imply that a drink may be preferred

because of its alcohol content or intoxicating effect. However, low-alcohol drinks
may be presented as preferable because of their low alcoholic strength,
provided that the alcohol content of the drink is stated clearly in the marketing
communication.

In the case of a drink with relatively high alcoholic strength in relation to its
category, the factual information should not be given undue emphasis.

18.10 Marketing communications that include a promotion must not imply, condone or
encourage excessive consumption of alcohol.

18.11 Marketing communications must not feature alcohol being handled or served
irresponsibly.

18.12 Marketing communications must not link alcohol with activities or locations in
which drinking would be unsafe or unwise.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 98

ALCOHOL

Marketing communications must not link alcohol with the use of potentially
dangerous machinery or driving. Marketing communications may feature
sporting and other physical activities (subject to other rules in this section; for
example, appeal to under-18s or link with daring or aggression) but must not
imply that those activities have been undertaken after the consumption of
alcohol.

18.13 Only in exceptional circumstances may marketing communications feature

alcohol being drunk by anyone in their working environment.

18.14 Marketing communications must not be likely to appeal particularly to people

under 18, especially by reflecting or being associated with youth culture. They
should not feature or portray real or fictitious characters who are likely to appeal
particularly to people under 18 in a way that might encourage the young to
drink. People shown drinking or playing a significant role (see rule 18.16)
should not be shown behaving in an adolescent or juvenile manner.

18.15 Marketing communications must not be directed at people under 18 through the
selection of media or the context in which they appear. No medium should be
used to advertise alcoholic drinks if more than 25% of its audience is under 18
years of age.

18.16 People shown drinking or playing a significant role must neither be nor seem to
be under 25. People under 25 may be shown in marketing communications, for
example, in the context of family celebrations, but must be obviously not
drinking.

18.17 Marketing communications may give factual information about product

contents, including comparisons, but must not make any health, fitness or
weight-control claims.

The only permitted nutrition claims are "low-alcohol", "reduced alcohol" and
"reduced energy" and any claim likely to have the same meaning for the
consumer.

Alcohol alternatives

Alcohol alternatives are non-alcoholic drinks (for the purposes of the CAP Code, those at or
under 0.5% ABV) that are intended to replace alcoholic drinks in contexts where they would
normally be consumed, such as non-alcoholic beer. A marketing communication for a non-
alcoholic drink will be subject to the below rules if it is likely to be understood by the audience
as an ad specifically for an alternative to alcohol, whether in general or as a non-alcoholic

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 99

ALCOHOL

version of a particular alcoholic drink. Where an ad for a drink at or below 0.5% has the effect
of promoting an alcoholic drink, the Alcohol rules apply in full.

18.18 If a marketing communication for an alcohol alternative refers to or depicts

alcohol, those references or depictions must comply with the rules relating to
responsible portrayal of alcohol consumption, which are 18.1-18.8 and 18.10-
18.13.

Where a marketing communication is for an alcohol alternative that shares the

same brand as an alcoholic drink then this rule will not apply to references to or
depictions of the brand name, provided that the primary effect of the marketing
communication is to promote the alcohol alternative. References to the shared
brand name, in any part of the marketing communication, without a reference to
the alcohol alternative, are likely to be understood as references to alcohol.

18.19 Marketing communications for alcohol alternatives must include a prominent

statement of their ABV. Marketing communications for alcohol alternatives are
not prohibited from making a feature of their ABV or from making preference
claims on this basis.

18.20 Marketing communications for alcohol alternatives may depict the product in
circumstances where consumption of alcoholic drinks would be inappropriate or
unsafe – such as prior to driving or daring physical activities – if it is clear the
product is an alcohol alternative. Marketing communications must not
encourage or condone consumption of alcohol in the same circumstances or
imply the product is alcoholic. Resemblance to an alcoholic drink (as in rule
18.18) is acceptable as long as the ad makes explicitly clear the product
featured is an alcohol alternative.

18.21 Marketing communications for alcohol alternatives must not contain content
likely to disparage sobriety, or condone or encourage heavy, problematic, or
otherwise higher-risk alcohol consumption as desirable. They must not present
alcohol alternatives as a way to increase alcohol consumption beyond
responsible levels.

18.22 Marketing communications for alcohol alternatives must not be likely to appeal
particularly to people under 18, especially by reflecting or being associated with
youth culture. They should not feature or portray real or fictitious characters
who are likely to appeal particularly to people under 18 in a way that might
encourage the young to drink alcohol or alcohol alternatives. People shown
drinking or playing a significant role (see rule 18.24) should not be shown
behaving in an adolescent or juvenile manner.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 100
ALCOHOL

18.23 Marketing communications for alcohol alternatives must not be directed at

people under 18 through the selection of media or the context in which they
appear. No medium should be used to advertise alcohol alternatives if more
than 25% of its audience is under 18 years of age.

18.24 People shown drinking or playing a significant role in marketing

communications for alcohol alternatives must neither be nor seem to be under
25. People under 25 may be shown in marketing communications, for example,
in the context of family celebrations, but must be obviously not drinking.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 101
MOTORING

19
MOTORING
MOTORING

Principle

Marketing communications should not condone or encourage unsafe or inconsiderate driving

practices. If they make environmental claims, marketing communications for motor vehicles,
fuel or accessories should comply with the rules in Section 11.

Rules
19.1 Marketing communications for motor vehicles, fuel or accessories must not
depict or refer to practices that condone or encourage anti-social behaviour.

19.2 Marketing communications must not condone or encourage unsafe or

irresponsible driving. If it could be emulated, marketing communications must
not depict a driving practice that is likely to condone or encourage a breach of
those rules of the Highway Code that are legal requirements if that driving
practice seems to take place on a public road or in a public space. Vehicles'
capabilities may be demonstrated on a track or circuit if it is obviously not in use
as a public highway.

19.3 Marketing communications must not depict speed in a way that might
encourage motorists to drive irresponsibly or to break the law.

To avoid the implication of irresponsible driving through excessive speed, care

must be taken in the style of presentation of marketing communications.
Particular care must be taken in, for example, cinema commercials and in
marketing communications that appear in electronic media to avoid moving
images that imply excessive speed. If they are shown in normal driving
circumstances on public roads, vehicles must be seen not to exceed UK speed
limits.

19.4 Marketers must not make speed or acceleration the main message of their
marketing communications. Marketing communications may give general
information about a vehicle's performance, such as acceleration and mid-range
statistics, braking power, road-holding and top speed.

19.5 Safety claims must not exaggerate the benefit to consumers. Marketers must
not make absolute claims about safety unless they hold evidence to
substantiate them.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 103
EMPLOYMENT, HOMEWORK SCHEMES AND BUSINESS OPPORTUNITIES

20
EMPLOYMENT, HOMEWORK
SCHEMES AND BUSINESS
OPPORTUNITIES
EMPLOYMENT, HOMEWORK SCHEMES AND BUSINESS OPPORTUNITIES

Rules
Employment
20.1 Marketing communications must distinguish clearly between offers of
employment and business opportunities. Before publication, media owners
normally require marketers' full details and any terms and conditions imposed
on respondents.

20.2 Employment marketing communications must relate to genuine vacancies and

potential employees must not be asked to pay for information.

Living and working conditions must not be misrepresented. Quoted earnings

must be precise; if one has to be made, a forecast must not be
unrepresentative. If income is earned from a basic salary and commission,
commission only or in some other way, that must be made clear.

Employment agencies and employment businesses

20.3 Employment agencies and employment businesses must make clear in their
marketing communications their full names and contact details and, in relation
to each position they advertise, whether it is for temporary or permanent work.

Homework schemes
20.4 Marketing communications for homework schemes must contain no forecast of
earnings if the scheme is new. Marketers may state the likely level of earnings
only if it can be supported with evidence of the experience of existing
homeworkers. Marketers must not exaggerate the support available to
homeworkers.

20.5 Marketing communications for homework schemes must state:

20.5.1 limitations or conditions that might influence consumers before their decision to
participate

20.5.2 whether the marketers will buy any products made

20.5.3 if a financial outlay is, or might be, required.

20.6 Marketers of homework schemes must include this information in the initial
marketing communication or in follow-up literature made available to all
consumers before commitment:

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 105
EMPLOYMENT, HOMEWORK SCHEMES AND BUSINESS OPPORTUNITIES

20.6.1 the full name and geographical address of the marketer

20.6.2 a clear description of the work

20.6.3 whether participants are self-employed or employed by a business

20.6.4 charges for raw materials, machines, components, administration and the like.

Business opportunities
20.7 Marketing communications for business opportunities must neither contain
unrepresentative or overstated earnings figures nor exaggerate the support
available to investors.

20.8 Marketers of business opportunities must include in their initial marketing

communications or in follow-up literature made available to all consumers
before commitment:

20.8.1 the full name and geographical address of the marketer

20.8.2 a clear description of the work involved

20.8.3 a statement of the extent of investors' commitments, including any financial

investment or outlay.

Vocational training and instruction courses

20.9 Marketing communications for vocational training or other instruction courses
must not give a misleading impression about the potential for employment that
might follow.

Marketing communications must make clear significant conditions for

acceptance onto vocational training or instruction courses, such as the level of
attainment, and significant conditions likely to affect a consumer's decision to
embark on a course, such as the cost or the duration of a course.

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EMPLOYMENT, HOMEWORK SCHEMES AND BUSINESS OPPORTUNITIES

Employment, homeworking schemes and business opportunities directories

20.10 Marketing communications for the sale of directories giving information about
employment, homeworking schemes or business opportunities must state
plainly the nature of what is being offered.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 107
TOBACCO, ROLLING PAPERS AND FILTERS

21
TOBACCO, ROLLING PAPERS
AND FILTERS
TOBACCO, ROLLING PAPERS AND FILTERS

Scope

The scope of the Tobacco products rule, in particular, as it relates to advertisements

appearing on marketer's own websites where tobacco products are offered for sale, is
determined by the relevant UK legislation on tobacco advertising.

The Rolling papers and filters rules govern the content of marketing communications,
including point-of-sale material, for:

a. rolling papers and filters

b. any product if the marketing communication concerned features rolling papers, filters or a
pack design of a recognisable brand available in the UK

c. a product displaying the colours, livery, logo or name of a rolling paper or a brand of filter in
a way that promotes smoking and not that branded product.

The Rolling papers and filters rules do not apply to marketing communications:

d. addressed to the trade in its professional capacity in media not targeted at the public

e. for schemes, events or activities sponsored or financially supported by manufacturers or

importers, including sports sponsorship, so long as undue emphasis is not placed on the
rolling papers or filters as opposed to the scheme, event or activity

f. on manufacturers' or importers' websites (see Scope of the Code II q).

Other rules in the CAP Code, such as the promotional marketing rules, apply to (d) and (e).

Rules
Tobacco products
21.1 Tobacco products may not be advertised to the public.

Rolling papers and filters

21.2 Marketing communications for rolling papers or filters must neither encourage
people to start smoking nor encourage people who smoke to increase their
consumption.

21.3 Marketing communications for rolling papers or filters must not:

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 109
TOBACCO, ROLLING PAPERS AND FILTERS

21.3.1 play on the susceptibilities of those who are physically or emotionally

vulnerable, especially the young or immature

21.3.2 suggest that smoking is natural, safe, popular, glamorous or aspirational or that
it can lead to social, sexual, romantic or business success

21.3.3 suggest that smoking can enhance people's femininity, masculinity or

appearance

21.3.4 appeal to the adventurous or rebellious or suggest that it is daring to smoke or

that smoking can enhance people's independence

21.3.5 link smoking with people who are well known, wealthy, fashionable,
sophisticated or successful or who possess other attributes or qualities that
may reasonably be expected to command admiration or encourage emulation

21.3.6 must not suggest that smoking is healthy, can be enjoyed as part of a healthy
lifestyle or that it can aid relaxation or concentration.

21.4 Marketing communications for rolling papers or filters must not depict anyone
smoking.

21.5 Marketing communications for rolling papers or filters must not be targeted at,
or be likely to appeal to, people under 18. Anyone depicted in a marketing
communication for rolling papers or filters must be, and be seen to be, over 25.
No medium may be used to advertise rolling papers or filters if more than 25%
of its audience is or is likely to be under 18. No direct marketing communication
for rolling papers or filters may be distributed to anyone under 18.

21.6 Marketing communications for rolling papers or filters must not condone or
encourage the use of illegal drugs. Except in exceptional circumstances, for
example, in the context of an anti-drug message, any reference to illegal drugs
will be regarded as condoning their use.

21.7 Marketing communications for rolling papers or filters must not be sexually
titillating.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 110
ELECTRONIC CIGARETTES

22
ELECTRONIC CIGARETTES
ELECTRONIC CIGARETTES

The Tobacco and Related Products Regulations 2016

The Tobacco and Related Products Regulations 2016 (‘the Regulations’) became law in the
UK on 20 May 2016. The Regulations implement Directive 2014/40/EU (on the approximation
of the laws, regulations and administrative provisions of the Member States concerning the
manufacture, presentation and sale of tobacco and related products and repealing Directive
2001/37/EC).

The Regulations prohibit the advertising of nicotine-containing electronic cigarettes (e-

cigarettes) which are not licensed as medicines, but only in some media channels. These
prohibitions are set out in rule 22.12. CAP has produced Advertising Guidance which explains
the legal basis for and effect of these prohibitions, particularly in relation to the types of claims
marketers may make online and how they might avoid indirectly promoting prohibited
products in media subject to the Regulations through the marketing of non-nicotine or other
products.

Overview

Other than in rule 22.12 which relates only to unlicensed, nicotine-containing products, for the
purposes of this section “e-cigarette” means a product that is intended for inhalation of vapour
via a mouth piece, or any component of that product, including but not limited to cartridges,
tanks and e-liquids. Therefore rules 22.1 – 22.11 apply to marketing communications for, and
which refer to, e-cigarettes and related products, including but not limited to e-shisha and e-
hookah products, whether or not they contain nicotine. The e-cigarette market continues to
innovate rapidly and new products may emerge which may not be caught precisely by the
above definition. The ASA may apply these rules in circumstances where it considers that an
advertised product is sufficiently similar to warrant the protection provided by this section.

The majority of e-cigarettes are currently sold as consumer goods; however marketers may
seek a medicines licence for their product from the Medicines and Healthcare Products
Regulatory Agency (MHRA). Except for rule 22.12 this section applies to marketing
communications for e-cigarettes which are licensed as medicines by the MHRA. For products
licensed as medicines, the rules in section 12 (Medicines, medical devices, health-related
products and beauty products) apply in addition to any other relevant CAP rules.

Depending on the formulation of their product and the means by which it is supplied,
marketers may have obligations relating to their advertising under chemical classification,
labelling and packaging legislation. Marketers are advised to take legal advice to ensure
compliance with the relevant law.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 112
ELECTRONIC CIGARETTES

Rules
22.1 Marketing communications for e-cigarettes must be socially responsible.

22.2 Marketing communications must contain nothing which promotes any design,
imagery or logo style that might reasonably be associated in the audience's
mind with a tobacco brand.

22.3 Marketing communications must contain nothing which promotes the use of a
tobacco product or shows the use of a tobacco product in a positive light. This
rule is not intended to prevent cigarette-like products being shown.

22.4 Marketing communications must make clear that the product is an e-cigarette
and not a tobacco product.

22.5 Marketing communications must not contain medicinal claims unless the
product is authorised for those purposes by the MHRA. E-cigarettes may be
presented as an alternative to tobacco but marketers must do nothing to
undermine the message that quitting tobacco use is the best option for health.

22.6 Marketers must not use health professionals to endorse electronic cigarettes.

22.7 Marketing communications must state clearly if the product contains nicotine.
They may include factual information about other product ingredients.

22.8 Marketing communications must not encourage non-smokers or non-nicotine-

users to use e-cigarettes.

22.9 Marketing communications must not be likely to appeal particularly to people

under 18, especially by reflecting or being associated with youth culture. They
should not feature or portray real or fictitious characters who are likely to appeal
particularly to people under 18. People shown using e-cigarettes or playing a
significant role should not be shown behaving in an adolescent or juvenile
manner.

22.10 People shown using e-cigarettes or playing a significant role must neither be,
nor seem to be, under 25. People under 25 may be shown in an incidental role
but must be obviously not using e-cigarettes.

22.11 Marketing communications must not be directed at people under 18 through the
selection of media or the context in which they appear. No medium should be

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 113
ELECTRONIC CIGARETTES

used to advertise e-cigarettes if more than 25% of its audience is under 18

years of age.

22.12 Except for media targeted exclusively to the trade, marketing

communications with the direct or indirect effect of promoting nicotine-
containing e-cigarettes and their components which are not licensed as
medicines are not permitted in the following media:

Newspapers, magazines and periodicals

Online media and some other forms of electronic media

Factual claims about products are permitted on marketers’ own websites and, in
certain circumstances, in other non-paid-for space online under the marketer’s
control. Please refer to the Advertising Guidance.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 114
HOW THE SYSTEM WORKS

HOW THE SYSTEM WORKS

HOW THE SYSTEM WORKS

The self-regulatory system

The self-regulatory system comprises three bodies: the Advertising Standards Authority
(ASA), the Advertising Standards Board of Finance (ASBOF) and the Committee of
Advertising Practice (CAP). Their work is described below.

The strength of the system depends on the long-term commitment of all those involved in
advertising, promotions and direct marketing. Practitioners in every sphere share an interest
in seeing that marketing communications are welcomed and trusted by their audience: unless
they are accepted and believed, marketing communications cannot succeed. If they are
offensive or misleading, they discredit everyone associated with them and the industry as a
whole.

The UK Code of Non-broadcast Advertising, Direct and Promotional Marketing (the CAP
Code), and the details of the guidance and training offered by CAP Services to help
advertisers comply with the rules, can be found at [Link]. The ASA publishes rulings
weekly on [Link].

The Advertising Standards Authority

The ASA was established in 1962 to provide independent scrutiny of the newly created self-
regulatory system set up by the industry. Its chief tasks are to promote and enforce high
standards in marketing communications, to investigate complaints, to identify and resolve
problems through research, to ensure that the system operates in the public interest and to
act as the channel for communications with those who have an interest in marketing
communication standards.

The ASA is a limited company and is independent of both the Government and the marketing
business. The Chairman of the ASA is appointed by ASBOF and is unconnected with the
marketing business. Most of the 12-member Council appointed by the Chairman to govern the
ASA is also unconnected with the marketing business. All Council members sit as individuals
and are selected, as far as possible, to reflect a diversity of background and experience.
Vacancies for independent members of Council are publicly advertised. Members serve for a
maximum of two three-year terms.

The ASA investigates complaints from any source against marketing communications in non-
broadcast media. Marketers are told the outcome of the ASA Council's rulings and, if
necessary, are asked to withdraw or amend their marketing communications. The rulings
reached by the Council are published weekly on [Link]. The ASA website contains

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 116
HOW THE SYSTEM WORKS

information about the ASA's procedures for handling complaints about a marketing
communication.

The ASA gives equal emphasis to conducting a substantial research and monitoring
programme by reviewing marketing communications that fall within its scope. Specific media
and product categories may be identified for scrutiny. In that way the ASA can identify trends
and prevent future problems.

Publicising the ASA's policies and actions is essential to sustaining wide acceptance of the
system's integrity. A comprehensive programme of seminars and speeches, advertising, e-
mail and website updates, briefing notes on a wide range of topics, articles written for
professional journals and newspaper, magazine, TV and radio coverage all augment the
ASA's extensive media presence.

The Advertising Standards Board of Finance

The Advertising Standards Board of Finance sets the framework for industry policy making
and is responsible for the Committee of Advertising Practice and for funding the self-
regulatory system.

The self-regulatory system is funded principally by a levy on advertising and direct marketing
expenditure collected by ASBOF. The separation of operation and responsibilities helps to
ensure that the independent judgement of the ASA is not compromised.

ASBOF's members are advertisers, promoters and direct marketers, their agencies, the
media and the trade and professional organisations of the advertising, direct and promotional
marketing businesses.

The Committee of Advertising Practice

CAP's role is to ensure that marketing communications within the Code's remit that are
commissioned, prepared, placed or published in the UK comply with the CAP Code.

CAP co-ordinates the activities of its members to achieve the highest degree of compliance
with the Code. It creates, reviews and amends the Code. From time to time, it produces for
the industry Help Notes that give detailed guidance on specific sectors or subjects that are
covered only generally in the Code. It oversees the sanctions operated by its members. It
operates a website, [Link], to provide information and guidance to the industry,
including access to Help Notes, Advice Online and relevant Ad Alerts. It convenes ad hoc

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 117
HOW THE SYSTEM WORKS

Working Groups for limited periods to address specific subjects arising out of the self-
regulatory process.

The Code establishes a standard against which marketing communications are assessed.
Other codes exist in many sectors; many require practitioners to comply with the CAP Code.

The Chairman of CAP works on a part-time basis and is appointed for an agreed period and
remunerated by ASBOF.

CAP actively encourages participation in the self-regulatory system. Suggestions for

improving Code rules or modifying their application should be sent in writing to the Chairman.
If changes are adopted by CAP their introduction is normally deferred for a short time to give
marketers an adequate opportunity to amend their marketing communications.

CAP Services

As well as writing and maintaining the rules, CAP also places great emphasis on the
prevention of breaches and works to promote high compliance. CAP Services are a range of
bespoke advice, training seminars and online resources to help all practitioners stay on top of
advertising regulation, the requirements of the CAP and BCAP Codes, and how those are
interpreted by the ASA.

Full details of CAP Services can be found at [Link]. Practitioners are urged to
register on the site and subscribe to the newsletters to help them keep up-to-date with
regulatory developments, training events and updates to guidance.

The Copy Advice team

The Copy Advice team gives advice to marketers, their agencies, the media and other
practitioners on the likely conformity with the CAP Code of marketing communications before
they are published or distributed. It also checks marketing communications produced by
marketers subject to mandatory pre-vetting (for example, those subject to the poster pre-
vetting sanction).

Copy Advice is fast, free and confidential from competitors. Bespoke advice is provided by the
specialist team of advisers who deal with the vast majority of written enquiries within 24 hours,
although lengthy submissions can take longer, especially those that include detailed evidence
that needs to be reviewed by external expert consultants. Advice is not binding either on
enquirers or on the ASA. Favourable pre-publication advice does not automatically protect

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HOW THE SYSTEM WORKS

marketers from complaints being investigated and upheld by the ASA. It is, however, the best
guide to what is likely to comply with the Code.

Online resources are available at advice. Visitors can register to access the most
comprehensive database of guidance (AdviceOnline and Help Notes) on the CAP Code, as
well as case studies and helpful checklists.

Online: advice

The Compliance team

The Compliance team ensures that marketing communications comply with the Code to
protect consumers and ensure a level playing-field. It enforces ASA rulings, disseminates any
ramifications of them for an industry sector and acts against marketers that persistently break
the Code. Exceptionally, if a marketing communication obviously breaches the Code, for
example, if it contains a claim that is blatantly misleading, the team takes immediate
compliance action to stop the marketing communication from reappearing. If it seems
necessary to avoid harm, the Executive may take interim action during an ASA investigation
(see "Sanctions").

The team co-ordinates the sanctions operated by the Executive and by CAP members; in
particular, it issues Ad Alerts to CAP members, including the media, advising them to withhold
their services from non-compliant marketers or deny those marketers access to advertising
space.

Information on compliance is available on [Link]. Companies that are members of a

CAP trade association or professional body can access a database of relevant Ad Alerts on a
secure section of the CAP website.

The Panels

Much of the detailed work of CAP is done by its Panels. The Promotional Marketing and
Direct Response Panel concentrates on promotions and direct marketing. The Online
Publications Media Panel advises on the proper distinction between editorial and advertising
in online publications. The Industry Advisory Panel concentrates on all other CAP-related and
BCAP-related matters. The Promotional Marketing and Direct Response Panel and the
Industry Advisory Panel are composed of industry experts and one ASA Council member; the
Online Publications Media Panel is composed of the Chairmen of ASBOF and The Regulatory
Funding Company.

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The Panels guide the Executive and help the ASA and CAP to produce advice for the industry
and to interpret the Code.

The Panels provide a forum to reassess recommendations and advice given by the
Executive. The parties to a complaint can request a Panel assessment before the ASA
Council has ruled; Council will take account of the Panel's opinion. Council's judgement on
the interpretation of the Code is, however, final. Anyone directly affected by copy advice given
by the Executive on behalf of CAP can ask for it to be considered by the relevant Panel. The
Panel Chairmen can reject requests and will do so if it seems that a Panel is being used to
hamper the effective running of the self-regulatory system.

The Independent Review Procedure

In exceptional circumstances, the ASA Council can be asked to reconsider its ruling (including
a Council decision not to investigate a complaint). Details of how to make a request for
Independent Review can be found in the ASA’s Complaint Handling Procedures for broadcast
and non-broadcast advertising.

Administration of the system

The ASA and CAP share a joint Executive whose duties are organised to recognise the
distinct functions of the two bodies. The Executive carries out the day-to-day work of the
system and acts as a channel of communication, ensuring that industry expertise, specialist
advice and the decisions of the ASA Council are co-ordinated and disseminated. The ASA
Council and CAP form an independent judgement on any matter reported to them after they
have considered the Executive's recommendation.

Marketers bear principal responsibility for the marketing communications they produce and
must be able to prove the truth of their claims to the ASA; they have a duty to make their
claims fair and honest and to avoid causing serious or widespread offence. Agencies have an
obligation to create marketing communications that are accurate, ethical and neither mislead
nor cause serious or widespread offence. Publishers and media owners recognise that they
should disseminate only those marketing communications that comply with the Code. That
responsibility extends to any other agent involved in producing, placing or publishing
marketing communications. They accept the rulings of the ASA Council as binding.

The ASA Council judges whether marketing communications breach the Code. Everyone
responsible for commissioning, preparing, placing or publishing a marketing communication
that breaches the Code is asked to act promptly to amend or withdraw it.

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HOW THE SYSTEM WORKS

The law

Marketers, agencies and publishers have primary responsibility for ensuring that everything
they do is legal. Since the Code was first published, the number of laws designed to protect
consumers has greatly increased. More than 200 statutes, orders and regulations affect
marketing communications here (see [Link] or [Link] for a non-
exhaustive list). The ASA maintains a rapport with those responsible for initiating or
administering any law that has a bearing on marketing communications. The system is
reinforced by the legal backup provided for the work of the ASA by the Digital Markets,
Competition and Consumers Act 2024 and the Business Protection from Misleading
Marketing Regulations 2008 (see Scope of the Code).

The Code, and the self-regulatory framework that exists to administer it, was designed and
has been developed to work within and to complement those legal controls. It provides an
alternative, and in some instances the only, means of resolving disputes about marketing
communications. It stimulates the adoption of high standards of practice in matters, such as
taste and decency, that are extremely difficult to judge in law but fundamentally affect
consumer confidence in marketing communications.

Some important aspects are governed by legislation enforced by local authority trading
standards and environmental health officers. They include product packaging (except for on-
pack promotions), weights and measures, statements on displays at point-of-sale and the
safety of products.

Many Government agencies administer consumer protection legislation that ranges far wider
and deeper than could be enforced through self-regulatory codes of practice. Marketers who
break the law risk criminal prosecution or civil action. The Code requires marketers to ensure
that all their marketing communications are legal but any matter that principally concerns a
legal dispute will normally need to be resolved through law enforcement agencies or the
Courts.

Europe

Most member States of the European Union, and many non-EU European countries, have
self-regulatory organisations (SROs) that are broadly similar to those in the self-regulatory
system in the UK. Together with organisations representing the advertising industry in Europe,
those SROs are members of the European Advertising Standards Alliance (EASA), the single
voice of the advertising industry in Europe on advertising self-regulation. The ASA is a founder

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member of EASA. EASA is located in Brussels and meets regularly to co-ordinate the
promotion and development of self-regulation at a European level.

Among its wide range of operations, EASA acts as a focal point for cross-border complaints
investigated by individual members; consumers need complain only to the SRO in their
country, no matter where the marketing communication originated. EASA is a source of
information and research on self-regulation. It helps in the development and establishment of
SROs in Europe and corresponds internationally.

EASA has published a statement of common principles, the core values that underpin each of
its constituent SROs, and recommended standards for operating best practice in self-
regulation that all SROs should seek to achieve. Both are available on [Link].

Information on EASA's objectives, activities and publications, including the Alliance Update
and order forms for The Blue Book, which contains an analysis of self-regulation in 24
European countries, is available from the EASA website, [Link].

Sanctions

Compliance surveys published periodically by the Executive have demonstrated that the vast
majority of marketing communications comply with the Code. By providing advice, guidance
or pressure, media owners, agencies and other intermediaries play a crucial role in ensuring
compliance. If a marketing communication breaks the Code, the marketer responsible is told
to amend or withdraw it. Most willingly undertake to do so. If they do not, the Compliance
team will consider the sanctions available to it.

The ASA and CAP do not adopt a legalistic attitude towards sanctions and they ensure that
sanctions are both proportionate to the nature of the breach and effective. They focus on
ensuring that noncompliant marketing communications are amended, withdrawn or stopped
as quickly as possible.

The ASA and CAP are not restricted to applying sanctions only against marketers that have
been subject to a formal investigation. If a marketing communication is obviously misleading
or offensive, the ASA and CAP may take compliance action in the absence of complaints or
during an investigation (see "The Compliance team").

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HOW THE SYSTEM WORKS

Adverse publicity

Publicising the ASA's rulings is essential to sustaining wide acceptance of the system's
integrity and the principal sanction available to the ASA is the unwelcome publicity that could
result from the rulings it publishes weekly on [Link]. Adverse publicity is damaging
to most marketers and serves to warn the public. Marketers may face more adverse publicity
if they cannot or will not amend their own non-compliant marketing communication on their
own website or in other non-paid-for space online under their control. Their name and their
non-compliance may be featured on a dedicated section of the ASA website and, if necessary,
in an ASA advertisement appearing on an appropriate page of an internet search website.
Anyone who is interested can access ASA rulings quickly and easily on the website and can
set up a profile-specific account so they are automatically notified by e-mail of relevant rulings
as soon as they are published. ASA rulings receive a substantial amount of coverage in local,
regional, national and international media.

An adverse ASA ruling could have consequences for compliance with other codes or legal
requirements. For example, personal data gathered as a result of a misleading marketing
communication might not comply with the fair processing requirement in the first data
protection principle of the Data Protection Act 1998.

Denial of media space

Ad Alerts

CAP may issue Ad Alerts to its members, including the media, advising them to consult the
Copy Advice team before accepting advertisements for publication or, in some circumstances,
to withhold their services from non-compliant marketers or deny the latter access to
advertising space. Ad Alerts are issued at short notice, are carefully targeted for greatest
impact, are sent electronically and, once issued, are available on a secure section
of [Link] to those who might need to consult them. They contain the name and
contact details of the non-compliant marketer, a description of the compliance problem and, if
possible, a scanned image of the marketing communication in question. CAP may issue Ad
Alerts that cover an entire sector if it perceives a widespread problem. CAP may ask internet
search websites to remove a marketer's paid-for search advertisement if that links directly to a
page hosting the marketer's own non-compliant marketing communication on the its own
website or in other non-paid-for space under the marketer's control.

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HOW THE SYSTEM WORKS

Trading privileges and recognition

Many CAP trade associations and professional bodies offer their members, and others,
recognition and trading privileges, which they may revoke, withdraw or temporarily withhold.
For example, agency recognition offered by the print media members of CAP may be
withdrawn or the substantial direct mail discounts offered by the Royal Mail on bulk mailings
withheld. In exceptional cases of noncompliance, CAP members may expel companies from
membership.

Pre-publication vetting

The ASA and CAP may require persistent offenders, or those whose marketing
communications bring advertising into disrepute, to have some or all of their marketing
communications vetted by the CAP Copy Advice team until the ASA and CAP are satisfied
that future communications will comply with the Code.

The poster industry members of CAP operate a poster pre-vetting sanction to deter abuse of
the medium. If the ASA rules against a poster on the grounds of serious or widespread
offence or social irresponsibility, the poster advertiser becomes a candidate for mandatory
pre-vetting. If they believe that the advertiser either is incapable of complying with the Code or
seems to have deliberately flouted the Code with the intention of generating complaints, PR
and subsequent notoriety, the poster industry members of CAP and the CAP Executive will
compel the advertiser to check future posters with the CAP Copy Advice team for a fixed
period (usually two years).

Legal backstop

The self-regulatory system is recognised by the Government, the Competition and Markets
Authority (CMA), Trading Standards and the Courts as one of the "established means" of
consumer protection in non-broadcast marketing communications. If certain types of
marketing communication, including those that are misleading or contain an impermissible
comparison, continue to appear after the ASA Council has ruled against them, the ASA can
refer the matter to Trading Standards for action under the Digital Markets, Competition and
Consumers Act 2024 or the Business Protection from Misleading Marketing Regulations
2008. Trading Standards can seek an undertaking that the marketing communication will be
stopped from anyone responsible for commissioning, preparing or disseminating it. If that is
not given or is not honoured, Trading Standards can seek an injunction from the Court to
prevent its further appearance. Anyone not complying can be found to be in contempt of court
and is liable to be penalised.

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HOW THE SYSTEM WORKS

The ASA and CAP maintain a rapport with Trading Standards and with other bodies that have
a responsibility for creating, administering or enforcing laws that have a bearing on marketing
communications. If necessary, they may notify those bodies of non-compliant marketers and
work with them to ensure that unacceptable marketing communications are amended,
withdrawn or stopped.
The CMA, Trading Standards Authorities and other enforcement bodies have powers to
enforce consumer protection laws, including under the Digital Markets Competition and
Consumers Act 2024, and the Business Protection from Misleading Marketing Regulations
2008. Both the Act and the Regulations provide that, before taking action, qualified entities
should have regard to the desirability of encouraging control by the "established means".

Cross-border marketing communications

The Code does not apply to marketing communications in foreign media. If marketing
communications appear in media based in countries that have self-regulatory organisations
(SROs) that are members of EASA or if direct marketing originates from countries that have
SROs that are members of EASA, EASA will co-ordinate cross-border complaints so the SRO
in the country of origin of the marketing communication has jurisdiction; consumers need
complain only to their SRO. If not, the ASA will take what action it can. The SROs with
jurisdiction are formally responsible for applying any sanctions, though the ASA and CAP will,
whenever they can, adopt a pragmatic approach to ensure that consumers are protected.

The ASA and CAP work closely with CAP trade associations and professional bodies, Trading
Standards officers, Government departments, the CMA and other UK regulators, EASA and
overseas SROs and statutory authorities to stop unacceptable marketing communications,
especially misleading or offensive mailings sent direct to UK consumers from overseas. That
work has achieved some success but the ASA, CAP and other authorities, whether statutory
or self-regulatory, experience difficulties in enforcing the Code and laws against companies
based overseas. Statutory authorities can, however, act to ensure compliance with Directive
2005/29/EC concerning unfair business-to-consumer commercial practices in the internal
market throughout the European Union.

To clarify what can and cannot be done, the ASA and CAP have produced a fact sheet,
"Overseas Mailings", to explain how they tackle unacceptable mailings that originate outside
the UK and to warn consumers to treat those mailings with the utmost caution. That fact sheet
is available on [Link].

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HISTORY OF SELF-REGULATION

HISTORY OF SELF-REGULATION
HISTORY OF SELF-REGULATION

History of self-regulation

Self-regulation is nothing new: the medieval guilds practised self-regulation in that they
inspected markets and measures, judged the quality of merchandise and laid down rules for
their trades.

In advertising and marketing, self-regulation can be traced back to the poster industry in the
1880s. The first code of advertising was launched in 1925 by the Association of Publicity
Clubs. And systematic scrutiny of advertising claims operated from 1926, when the newly
established Advertising Association set up its Advertising Investigation Department to
"investigate abuses in advertising and to take remedial action".

In 1937, the International Chamber of Commerce developed an international code of

advertising practice, the first of several international marketing codes that have provided a
bench mark for many national systems of self-regulation.

The Committee of Advertising Practice (or the British Code of Advertising Practice Committee,
as it then was) came into existence in 1961 and was responsible for the first British Code of
Advertising Practice and all subsequent Codes including this one. The Code covered all non-
broadcast advertisements and, in 1962, an independent body – the Advertising Standards
Authority (ASA) – was established to administer the first Code.

1974 saw the creation of a new, improved funding mechanism for self-regulation in the form of
the Advertising Standards Board of Finance (ASBOF). The new system brought an automatic
levy of 0.1% on all display advertisements to fund the system. With it came an increased
emphasis on public awareness of self-regulation and increased staffing to facilitate pre-vetting
and monitoring.

1974 also saw the establishment of the first Code of Sales Promotion Practice – a recognition
of the need to expand the role of the system to encompass promotional marketing.

Since 1962, advertising self-regulation has grown in stature. It now has all-party support and
enjoys a widespread acceptance of its role in protecting the consumer. That acceptance led to
European legislation governing misleading advertising being implemented nationally in 1988
in a way that allowed the ASA to remain the principal regulator for misleading advertisements
in non-broadcast media but with statutory reinforcement through the Office of Fair Trading
(OFT) as was, and presently Trading Standards. It is a measure of the success of that
approach that the ASA has referred few advertisers to the OFT or Trading Standards.

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HISTORY OF SELF-REGULATION

Nothing better illustrates the maturity of the self-regulatory system than the extension, in
2004, of the ASA's remit to cover broadcast advertisements. Previously, broadcast advertising
had been the subject of a separate statutory regime. The change came in 2003, when the
Communications Act gave the newly formed Office of Communications (Ofcom) statutory
responsibility for broadcasting standards. Using its powers under the Act, Ofcom contracted
out responsibility for advertising standards to the ASA in the guise of a separate, but related,
body called ASA (Broadcast) in a partnership often referred to as co-regulation.

As a result, all licensed broadcast services carrying advertisements fall within the extended
remit of the self-regulatory system; they include television, radio and teletext services, which
were previously regulated by the Independent Television Commission or the Radio Authority.
The broadcast self-regulatory system has powers to direct advertisements to be taken off air,
amended or re-scheduled and broadcasters fund and use pre-vetting services. The system
provides for the ASA to refer to Ofcom any broadcaster that flouts an ASA adjudication or
instruction.

A separate body known as the Broadcast Committee of Advertising Practice (BCAP) took over
responsibility for the existing television and radio advertising codes. Its members include
representatives from the advertising and marketing industry with an interest in broadcast
advertising: advertisers, agencies and television and radio broadcasters.

Today, the self-regulatory system covers non-broadcast advertising, and many aspects of
direct and promotional marketing. It is supported by a range of other self-regulatory initiatives
by the industry, including the various preference services run by the Data & Marketing
Association.

From its limited original remit, the UK system of self-regulation has, with the ASA as its public
face, evolved into a comprehensive one-stop shop for regulating marketing communications,
both broadcast and non-broadcast. With a degree of flexibility denied to statutory controls, the
self-regulatory system is constantly reviewing both the content of its codes and its remit,
recently especially in relation to digital media and the challenges presented by the growth of
online marketing communications.

The world of advertising and marketing has changed beyond recognition since the inception
of the UK self-regulatory system in the early 1960s. Yet the purpose of self-regulation remains
as it was in the beginning: to maintain, in the best way possible, the integrity of marketing
communications in the interests of both the consumer and business.

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APPENDIX 1 THE DMCCA AND THE BPRS

APPENDIX 1 THE DMCCA AND

THE BPRS
APPENDIX 1 THE DMCCA AND THE BPRS

Background

Non-broadcast marketing communications are subject to legislation as well as to this Code.

See [Link] or [Link] for a non-exhaustive list.

The Digital Markets, Competition and Consumers Act 2024 (DMCCA)

One important piece of legislation that affects marketing communications is the The Digital
Markets, Competition and Consumers Act 2024 (DMCCA). For the purpose of the legislation
and in this Appendix, "consumers" refers to individuals acting outside the course of their
business. Chapter 1 of Part 4 of the DMCCA prohibits unfair marketing to consumers,
including misleading or aggressive advertising. Whenever it considers complaints that a
marketing communication misleads consumers or is aggressive or unfair to consumers, the
ASA will have regard to the relevant section of the DMCCA. That means it will take factors
identified in the DMCCA into account when it considers whether a marketing communication
breaches the CAP Code.

The notes below summarise those factors.

Code rules that refer to misleading marketing communications should be read, in relation to
business-to-consumer marketing communications, in conjunction with these notes.

Consumers

The likely effect of a marketing communication is generally considered from the point of view
of the average consumer whom it reaches or to whom it is addressed. The average consumer
is assumed to be reasonably well-informed, observant and circumspect.

The average consumer is to be treated as not knowing information in relation to a commercial

practice where such information has been concealed by the trader (even if the average
consumer might know the information from another source).

In some circumstances, a marketing communication may be considered from the point of view
of the average member of a specific group:

If it is directed to a particular audience group, the marketing communication will be

considered from the point of view of the average member of that group.
If it is likely to affect the economic behaviour of a group of people who are particularly
vulnerable, in a way that the advertiser could reasonably be expected to foresee,
because of mental or physical health, age, credulity, or the circumstances that group of

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APPENDIX 1 THE DMCCA AND THE BPRS

people are in, the marketing communication will also be considered from the point of
view of the average member of the affected group.

Unfair marketing communications

Marketing communications are unfair if they:

• are likely to cause the average consumer to take a transactional decision that the
consumer would not have taken otherwise, as a result of a practice involving one or more of
the following:
o a misleading action
o a misleading omission
o an aggressive practice
o a contravention of the requirements of professional diligence
• omit material information from an invitation to purchase
• involve a practice prohibited in all circumstances under the DMCCA
"Professional diligence" is the standard of skill and care that a trader may reasonably be
expected to exercise towards consumers, commensurate with honest market practice or the
general principle of good faith in the trader's field of activity.
An “invitation to purchase” is a commercial practice involving the provision of information to a
consumer which indicates the characteristics of a product and its price, and which enables, or
purports to enable, the consumer to decide whether to purchase the product or take another
transactional decision in relation to the product.

Misleading marketing communications

Marketing communications are misleading if they

are likely to deceive consumers and

are likely to cause consumers to take transactional decisions that they would not
otherwise have taken.

A "transactional decision" is any decision made by a consumer relating to the purchase or

supply of a product (including whether, how or on what terms to make the purchase or
supply); the retention, disposal or withdrawal of a product (including whether, how or on what
terms to retain or dispose of it); or the exercise of contractual rights in relation to a product
(including whether, how or on what terms to exercise such rights).

Marketing communications can deceive consumers by ambiguity, through presentation or by

omitting important information that consumers need to make an informed transactional
decision, as well as by including false information.

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APPENDIX 1 THE DMCCA AND THE BPRS

Aggressive marketing communications

Marketing communications are aggressive if they use harassment, coercion or undue

influence.

The Business Protection from Misleading Marketing Regulations 2008

Business-to-business marketing communications are subject to the Business Protection from

Misleading Marketing Regulations 2008 (the BPRs). Business-to-business marketing
communications that breach the CAP Code may be referred to Trading Standards for
consideration under the BPRs. Under the BPRs, a marketing communication is misleading if
it:

in any way, including its presentation, deceives or is likely to deceive the traders to
whom it is addressed or whom it reaches and by reason of its deceptive nature, is likely
to affect their economic behaviour
or, for those reasons, injures or is likely to injure a competitor.

The BPRs also set out the conditions under which comparative marketing communications,
directed at either consumers or business, are permitted. This Code incorporates those
conditions.

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APPENDIX 2 ADVERTISING RULES FOR ON-DEMAND SERVICES REGULATED BY STATUTE

APPENDIX 2 ADVERTISING
RULES FOR ON-DEMAND
SERVICES REGULATED BY
STATUTE
APPENDIX 2 ADVERTISING RULES FOR ON-DEMAND SERVICES REGULATED BY STATUTE

Principle

The rules in Appendix 2 reflect the legal requirements in the Communications Act 2003 (as
amended) with which media service providers must ensure they comply. Failure to ensure that
advertising included in a regulated on-demand service complies with these rules may result in
the matter being referred to Ofcom. If Ofcom concludes that the media service provider has
contravened the relevant requirements of the Act, this may lead to Ofcom considering
imposing a statutory sanction against the provider.

Definition

Some video-on-demand services are subject to regulation under the Communications Act
2003 (as amended). ('the Act'). In this section, "regulated on-demand services" refers to those
services that are subject to statutory regulation and "media service providers" means
providers of regulated on-demand services.

The rules in this section apply only to advertising "included" in a regulated on-demand
service, which is advertising that can be viewed by a user of the service as a result of the user
selecting a programme to view.

Advertisements on regulated on-demand services are also

separately subject to the CAP Code. The marketer, not the
media service provider, bears the primary responsibility for
ensuring compliance with the CAP Code.

Rules
30.1 Advertising must be readily recognisable as such.

30.2 Advertising must not use techniques which exploit the possibility of conveying a
message subliminally or surreptitiously.

30.3 Advertising must not prejudice respect for human dignity.

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APPENDIX 2 ADVERTISING RULES FOR ON-DEMAND SERVICES REGULATED BY STATUTE

30.4.1 Advertising must not contain any material likely to incite violence or hatred
against a group of persons or a member of a group of persons based on any of
the grounds referred to in Article 21 of the Charter of Fundamental Rights of the
European Union of 7 December 2000, as adopted at Strasbourg on 12
December 2007.

30.4.2 Advertising must not contain any prohibited material, as defined in section
368E(3) of the Communications Act 2003.

30.5 Advertising must not include or promote any discrimination based on sex, racial
or ethnic origin, nationality, religion or belief, disability, age or sexual orientation.

30.6 Advertising must not encourage behaviour prejudicial to health or safety.

30.7 Advertising must not encourage behaviour grossly prejudicial to the protection
of the environment.

30.8 Advertising of the following products is prohibited:

30.8.1 cigarettes or other tobacco products

30.8.2 any prescription-only medicine.

30.8.3 electronic cigarettes or electronic cigarette refill containers (as defined in the
section 368R of the Act)

30.9 Advertising of alcoholic drinks is only permitted in on-demand programme

services if

30.9.1 it is not aimed specifically at persons under the age of eighteen, nor does it, in
particular, depict such persons consuming alcoholic drinks;

30.9.2 it does not link the consumption of alcohol to enhanced physical performance or
to driving;

30.9.3 it does not create the impression that the consumption of alcohol contributes
towards social or sexual success;

30.9.4 it does not claim that alcohol has therapeutic qualities or that it is a stimulant, a
sedative or a means of resolving personal conflicts;

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APPENDIX 2 ADVERTISING RULES FOR ON-DEMAND SERVICES REGULATED BY STATUTE

30.9.5 it does not encourage immoderate consumption of alcohol or present

abstinence or moderation in a negative light; and

30.9.6 it does not place emphasis on high alcoholic content as being a positive quality
of alcoholic drinks.

30.10 Advertising must not cause physical or moral detriment to persons under the
age of eighteen.

30.11 If advertising contains material which might seriously impair the physical,
mental or moral development of persons under the age of eighteen, the
material must be made available in a manner which secures that such persons
will not normally see or hear it.

30.12 Advertising must not directly exhort persons under the age of eighteen to
purchase or rent goods or services in a manner which exploits their
inexperience or credulity.

30.13 Advertising must not directly encourage persons under the age of eighteen to
persuade their parents or others to purchase or rent goods or services.

30.14 Advertising must not exploit the trust of persons under eighteen in parents,
teachers or others.

30.15 Advertising must not unreasonably show persons under eighteen in dangerous
situations.

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APPENDIX 3 VSPS ADVERTISING RULES FOR VIDEO-SHARING PLATFORMS REGULATED BY STATUTE

APPENDIX 3 VSPS
ADVERTISING RULES FOR
VIDEO-SHARING PLATFORMS
REGULATED BY STATUTE
APPENDIX 3 VSPS ADVERTISING RULES FOR VIDEO-SHARING PLATFORMS REGULATED BY
STATUTE

Definition

Some VSPs are subject to regulation under the Communications Act 2003 (as amended). The
rules in this section apply to those services that are subject to statutory regulation in the UK
as set out here.

The rules in this section apply only to advertising that is "marketed, sold or arranged" by a
regulated VSP, also referred to as “VSP-controlled advertising”. Ofcom has published
guidance on VSP-controlled advertising, which may be read here.

Principle

The rules in Appendix 3 reflect the legal requirements in the Communications Act 2003 (as
amended) with which Video-Sharing Platforms (“regulated VSPs”) must ensure they comply.
Failure to ensure that advertising included in a regulated VSP complies with these rules may
result in the matter being referred to Ofcom. If Ofcom concludes that the regulated VSP has
contravened the relevant requirements of the Act, this may lead to Ofcom considering
imposing a statutory sanction against the regulated VSP.

Advertisements on regulated VSPs are also separately subject

to the CAP Code. The marketer, not the regulated VSP, bears
the primary responsibility for ensuring compliance with the CAP
Code.

Rules
31.1 Advertisements included on a regulated VSP:

31.1.a must be readily recognisable as such; and,

31.1.b must not use techniques which exploit the possibility of conveying a message
subliminally or surreptitiously.

31.2 Advertisements on a regulated VSP must not:

31.2.a prejudice respect for human dignity;

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APPENDIX 3 VSPS ADVERTISING RULES FOR VIDEO-SHARING PLATFORMS REGULATED BY
STATUTE

31.2.b include or promote discrimination based on sex, racial or ethnic origin,

nationality, religion or belief, disability, age or sexual orientation;

31.2.c encourage behaviour prejudicial to health or safety;

31.2.d encourage behaviour grossly prejudicial to the protection of the environment;

31.2.e cause physical, mental or moral detriment to persons under the age of 18;

31.2.f directly exhort such persons to purchase or rent goods or services in a manner
which exploits their inexperience or credulity;

31.2.g directly encourage such persons to persuade their parents or others to

purchase or rent goods or services;

31.2.h exploit the trust of such persons in parents, teachers or others; or,

31.2.i unreasonably show such persons in dangerous situations.

31.3 Advertisements for the following are prohibited:

31.3.a cigarettes and other tobacco products;

31.3.b electronic cigarettes and electronic cigarette refill containers;

31.3.c prescription-only medicines

31.4 Advertisements for alcoholic drinks must comply with the general advertising
requirements set out in 31.1 (a-b) and 31.2 (a-i), and must not:

31.4.a be aimed at persons under the age of eighteen;

31.4.b encourage immoderate consumption of alcohol.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 139