The CAP Code Edition 12

The UK Code of Non-broadcast Advertising

and Direct & Promotional Marketing

v12.2.72
Contents
Preface
Introduction

General Section test

1 Compliance 11
2 Recognition of marketing communications 14
3 Misleading advertising 16
4 Harm and offence 25
5 Children 28
6 Privacy 32
7 Political advertisements 34
8 Promotional Marketing 36
9 Distance selling 45
10 USE OF DATA FOR MARKETING 47
11 Environmental claims 53
12 Medicines, medical devices, health-related products and beauty products 56
13 Weight control and slimming 63
14 Financial products 67
15 Food, food supplements and associated health or nutrition claims 70
16 Gambling 78
17 Lotteries 83
18 Alcohol 87
19 Motoring 91
20 Employment, homework schemes and business opportunties 93
21 Tobacco, rolling papers and filters 96
22 Electronic cigarettes 99
23 How the system works 103
24 History of self-regulation 114
25 Appendix 1: The CPRs and BPRs 117
26 Appendix 2: Advertising rules for on-demand services regulated by statute
121
27 APPENDIX 3 - VSPS - ADVERTISING RULES FOR VIDEO-SHARING
PLATFORMS REGULATED BY STATUTE 124

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 is recognised in EC

Directives, including those on misleading and comparative advertising (Directives
2005/29/EC and 2006/114/EC). Self-regulation is accepted by the Department for
Business, Innovation and Skills and Trading Standards 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 investigatingand rulingon complaints and

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

conducting research. Full information about the ASA's complaints procedure is available
on www.asa.org.uk.

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
Consumer Protection from Unfair Trading Regulations 2008 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 at: https://www.asa.org.uk/codes-and-

rulings/advertising-codes/non-broadcast-code.html.

CAP
t 020 7492 2200 f020 7404 3404
e enquiries@cap.org.uk
www.cap.org.uk

ASA
t 020 7492 2222 f 020 7242 3696
e enquiries@asa.org.uk
www.asa.org.uk

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 4

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. See www.cap.org.uk for a non-exhaustive list.

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.

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)

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

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.

Direct marketing communications 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.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 6

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 marketingrules 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

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.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 7

In cases where advertisements or other marketing communications recentlyruled
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

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.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 8

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 ASAruling 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

f. an indication of the statutory rules governing marketing communications is given on

www.cap.org.uk; 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 itemsand 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

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

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 10

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, www.asa.org.uk, or the CAP website,
www.cap.org.uk, 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.

1.6 Marketing communications must respect the principles of fair competition

generally accepted in business.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 12

COMPLIANCE

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.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 13

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 obvious from the context.

2.4 Marketers and publishers must make clear that advertorials are marketing
communications; for example, by heading them "advertisement feature".

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 15

3
MISLEADING
ADVERTISING
MISLEADING ADVERTISING

Background
The ASA may take the Consumer Protection from Unfair Trading Regulations 2008 into
account when it rules on complaints about marketing communications that are alleged
to be misleading. See Appendix 1 for more information about those Regulations.

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.

3.3 Marketing communications must not mislead the consumer by omitting material
information. They must not mislead by hiding material information or presenting
it in an unclear, unintelligible, ambiguous or untimely manner.

Material information is information that the consumer needs to make informed

decisions in relation to a product. Whether the omission or presentation of
material information is likely to mislead the consumer depends on the context,
the medium and, if the medium of the marketing communication is constrained
by time or space, the measures that the marketer takes to make that
information available to the consumer by other means.

3.4 For marketing communications that quote prices for advertised products,
material information [for the purposes of rule 3.3] includes:

3.4.1 the main characteristics of the product

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MISLEADING ADVERTISING

3.4.2 the identity (for example, a trading name) and geographical address of the
marketer and any other trader on whose behalf the marketer is acting

3.4.3 the price of the advertised product, including taxes, or, if the nature of the
product is such that the price cannot be calculated in advance, the manner
in which the price is calculated

3.4.4 delivery charges

3.4.5 the arrangements for payment, delivery, performance or complaint

handling, if those differ from the arrangements that consumers are likely to
reasonably expect

3.4.6 that consumers have the right to withdraw or cancel, if they have that right
(see rule 3.55).

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 Database Practice
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 imply 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 should not exaggerate 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.

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MISLEADING ADVERTISING

Qualification

3.9 Marketing communications must state significant limitations and qualifications.

Qualifications may clarify but must not contradict the claims that they qualify.

3.10 Qualifications must be presented clearly.

CAP has published Advertising Guidance onMisleading 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 suggest 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 in jeopardy 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.

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

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MISLEADING ADVERTISING

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 applicable delivery,
freight or postal charges or, if those cannot reasonably be calculated in
advance, state that such charges are payable.

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

must 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 exaggerate the availability or
amount of benefits likely to be obtained by the consumer.

Free

Principle
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.

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

3.24 Marketing communications must not describe items as "free" if:

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

charges for the "free" product

3.24.2 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

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MISLEADING ADVERTISING

3.24.3 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".

3.25 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 state
any reasonable grounds the marketer has for believing that it might not be able
to supply the advertised (or an equivalent) product at the advertised price within
a reasonable period and in reasonable quantities. In particular:

3.28.1 if estimated demand exceeds supply, marketing communications must

make clear that stock is limited

3.28.2 if the marketer does not intend to fulfil orders, for example, because the
purpose of the marketing communication is to assess potential demand,
the marketing communication must make that clear

3.28.3 marketing communications must not mislead consumers by omitting

restrictions on the availability of products; for example, geographical
restrictions or age limits.

3.29 Marketers must monitor stocks. If a product becomes unavailable, marketers

must, whenever possible, withdraw or amend marketing communications that
feature that product.

3.30 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.

3.31 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 very limited time to
deprive consumers of the time or opportunity to make an informed choice.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 21

MISLEADING ADVERTISING

3.32 Marketing communications must not mislead the consumer about market
conditions or the possibility of finding the product elsewhere to induce
consumers to buy 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

3.33 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.

3.34 They must compare products meeting the same need or intended for the same
purpose.

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

3.36 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.

3.37 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.

Other comparisons

3.38 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.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 22

MISLEADING ADVERTISING

Price comparisons

3.39 Marketing communications that include a price comparison must 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.

3.40 Price comparisons must not mislead by falsely claiming a price advantage.
Comparisons with a 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

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

3.42 Marketing communications must not discredit or denigrate another product,

marketer, trade mark, trade name or other distinguishing mark.

3.43 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.

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

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

Endorsements and testimonials

3.45 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.

3.46 Testimonials must relate to the advertised product.

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

3.48 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.

3.49 Marketers must not refer in a marketing communication to advice received from

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MISLEADING ADVERTISING

CAP or imply endorsement by the ASA or CAP.

3.50 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 other body if it has not or without complying with the
terms of the approval, endorsement or authorisation.

3.51 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 other body.

3.52 Marketing communications must not use the Royal Arms or Emblems without
prior permission from the Lord Chamberlain's office. 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.

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

3.54 Marketing communications must make clear each significant limitation 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.

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

3.56 Marketing communications must not falsely claim or imply that after-sales
service is available in an EEA member state in which the advertised product is
not sold.

3.57 If a marketing communication in a language other than an official language of

the EEA State where the trader is located 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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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.

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

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HARM AND OFFENCE

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?

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

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 27

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.

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

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CHILDREN

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 exhortation and parental authority

5.4 Marketing communications addressed to or targeted directly at children:

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 exhortation to children to buy an advertised

product or persuade their parents or other adults to buy an advertised
product for them.

5.5 Marketing communications that contain a direct exhortation 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

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CHILDREN

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

exhortation to make a purchase must not be addressed to or targeted at
children. See Section 8: Promotional Marketing.

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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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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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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.

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.

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PROMOTIONAL MARKETING

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.

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.

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PROMOTIONAL MARKETING

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.

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 factors reasonably likely to influence consumers' 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

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PROMOTIONAL MARKETING

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

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
orthe need to access the Internet. Promoters must state any need to obtain
permission to enter from an adult or employer

8.17.8 Availability

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PROMOTIONAL MARKETING

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.

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.

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PROMOTIONAL MARKETING

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.

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
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

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PROMOTIONAL MARKETING

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

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

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PROMOTIONAL MARKETING

participating in promotions.

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.

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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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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10
USE OF DATA FOR MARKETING
USE OF DATA FOR MARKETING

Background
In considering complaints under these rules, the ASA will have regard to Regulation
(EU) 2016/679 (the General Data Protection Regulation, “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 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.

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.

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USE OF DATA FOR MARKETING

“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 telephone, fax, mail, e-mail or other remote media.

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 rules referred to in Article 46 or 47 of the GDPR, or to the
compelling legitimate interests under the second subparagraph of Article
49(1) 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

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USE OF DATA FOR MARKETING

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 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.

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

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USE OF DATA FOR MARKETING

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
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

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USE OF DATA FOR MARKETING

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
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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11
ENVIRONMENTAL
CLAIMS
ENVIRONMENTAL CLAIMS

Background
Marketers should take account of Government guidance including the Green Claims
Code published by DEFRA and BIS.

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

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

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ENVIRONMENTAL CLAIMS

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

http://ec.europa.eu/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

http://ec.europa.eu/energy.

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

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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), www.mhra.gov.uk,
Veterinary Medicines Directorate (VMD), www.vmd.defra.gov.uk, the European
Medicines Agency (EMA), www.ema.europa.eu, and the Department of Health,
www.dh.gov.uk. 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. 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, please
see Veterinary medicines Guidance Note 4, Controls on Advertising at:

www.vmd.defra.gov.uk/public/vmr_vmgn.aspx.

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

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.

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

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.

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 CE-marked medical device. 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, including an injury, ailment or adverse condition,
whether of body or mind, 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

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

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.

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 cure illness,
dysfunction or malformations.

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. 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:

https://www.gov.uk/government/publications/blue-guide-advertising-and-promoting-
medicines.

For more information on medical treatments, go to: www.cqc.org.uk.

Advertisements for products subject to authorisation under the Veterinary Medicines

Regulations must comply with the requirements of the Regulations and any conditions

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

contained in the marketing authorisation, certificate or registration for the advertised

product.

For more information please see Veterinary medicines Guidance Note 4 Controls on
advertising at:

http://www.vmd.defra.gov.uk/public/vmr_vmgn.aspx.

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:

http://www.mhra.gov.uk/Howweregulate/Medicines/Advertisingofmedicines/Blue
Guide.

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

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.

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

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:

http://www.mhra.gov.uk/Howweregulate/Medicines/Advertisingofmedicines/Blue
Guide/.

Marketing communications for products that hold a Traditional Herbal Medicines

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

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.

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

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

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WEIGHT CONTROL AND SLIMMING

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
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.

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WEIGHT CONTROL AND SLIMMING

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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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 http://www.fca.org.uk).

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

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

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:

https://ec.europa.eu/food/safety/labelling_nutrition/claims/register/public/?event=register.
home
https://www.gov.uk/government/publications/great-britain-nutrition-and-health-claims-
nhc-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.

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

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

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:

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

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

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.

Infant and follow-on formula

These rules must be read in conjunction with the relevant legislation including the Infant
Formula and Follow-on Formula Regulations 2007 (as amended) and the NHCR.

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.

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

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 nutrient profiling model.
Information on the nutrient profiling model is now available on the Department of Health
website at:

https://www.gov.uk/government/publications/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.

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

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

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.

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

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FOOD, FOOD SUPPLEMENTS AND ASSOCIATED HEALTH OR NUTRITION CLAIMS

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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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 Commissions 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.

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

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GAMBLING

 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
advertisers 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:

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

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GAMBLING

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).

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.

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GAMBLING

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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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.

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-

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LOTTERIES

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);
 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.

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17.14 Marketing communications for lotteries should not be directed at those aged
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 (under-25s) participating in gambling.

17.16 Marketing communications for lotteries which include any reference to

scratchcards or online instant-win lottery products must not feature under-25s in
a significant role. Other marketing communications for lotteries must not feature
under-25s in a significant role unless either:

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

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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 containingmore than0.5% 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
unruly, irresponsible or anti-social behaviour nor link alcohol with brave, tough or

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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.

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

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ALCOHOL

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.

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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.

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20
EMPLOYMENT, HOMEWORK
SCHEMES AND BUSINESS
OPPORTUNTIES
EMPLOYMENT, HOMEWORK SCHEMES AND BUSINESS OPPORTUNTIES

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:

20.6.1 the full name and geographical address of the marketer

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EMPLOYMENT, HOMEWORK SCHEMES AND BUSINESS OPPORTUNTIES

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.

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.

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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:

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

vulnerable, especially the young or immature

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TOBACCO, ROLLING PAPERS AND FILTERS

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 beunder 18. No direct marketing communication
for rolling papers or filters may be distributed to anyoneunder 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.

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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.

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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
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

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ELECTRONIC CIGARETTES

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 marketers
control. Please refer to the Advertising Guidance.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 102
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 www.cap.org.uk. The ASA
publishes rulings weekly on www.asa.org.uk.

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.
Therulings reached by the Council are published weekly on www.asa.org.uk. The ASA
website contains 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

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HOW THE SYSTEM WORKS

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, www.cap.org.uk, to provide information and
guidance to the industry, including access to Help Notes, Advice Online and relevant Ad
Alerts. It convenes ad hoc 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.

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HOW THE SYSTEM WORKS

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 www.cap.org.uk. 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 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 www.cap.org.uk/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: www.cap.org.uk/advice
Phone: 020 7492 2100

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HOW THE SYSTEM WORKS

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 www.cap.org.uk. 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.

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.

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HOW THE SYSTEM WORKS

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 ASAs 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.

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 UK statutes,
orders and regulations as well as several directly effective European laws affect
marketing communications here (see www.asa.org.uk or www.cap.org.uk 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 Consumer
Protection from Unfair Trading Regulations 2008 and the Business Protection from
Misleading Marketing Regulations 2008 (see Scope of the Code).

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HOW THE SYSTEM WORKS

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 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
www.easa-alliance.org.

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HOW THE SYSTEM WORKS

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, www.easa-alliance.org.

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").

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 www.asa.org.uk. 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. ASArulings 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.

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HOW THE SYSTEM WORKS

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 www.cap.org.uk 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.

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).

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 111
HOW THE SYSTEM WORKS

Legal backstop

The 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. 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 Consumer Protection from Unfair Trading Regulations
2008 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.

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.

"Qualified entities" such as Trading Standards Authorities can use the Enterprise Act
2002 Part 8 to enforce consumer protection laws, including the Consumer Protection
from Unfair Trading Regulations 2008 and the Business Protection from Misleading
Marketing Regulations 2008. Those 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 OFT and other UK
regulators, EASA and overseas SROs and statutory authorities to stop unacceptable

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 112
HOW THE SYSTEM WORKS

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. "Qualified entities"
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 www.asa.org.uk.

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

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

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 115
HISTORY OF SELF-REGULATION

(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.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 116
APPENDIX 1: THE
CPRS AND BPRS
APPENDIX 1: THE CPRS AND BPRS

Background
Non-broadcast marketing communications are subject to legislation as well as to this
Code. See www.asa.org.uk or www.cap.org.uk for a non-exhaustive list.

The Consumer Protection from Unfair Trading Regulations 2008 (the

CPRs)
One important piece of legislation that affects marketing communications is the
Consumer Protection from Unfair Trading Regulations 2008 (the CPRS). For the
purpose of the Regulations and in this Appendix, "consumers" refers to individuals
acting outside the course of their business. The CPRs prohibit 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 CPRs. That means it will take
factors identified in the CPRs 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.

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 only of a clearly identifiable group of
people who are especially vulnerable, in a way that the advertiser could reasonably
foresee, because of mental or physical infirmity, age or credulity, the marketing
communication will be considered from the point of view of the average member of
the affected group.

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APPENDIX 1: THE CPRS AND BPRS

Unfair marketing communications

Marketing communications are unfair if they

• are contrary to the requirements of professional diligence and

• are likely to materially distort the economic behaviour of consumers in relation to the
advertised goods or services.

"Professional diligence" is the standard of special skill and care that a trader may
reasonably be expected to exercise towards consumers, commensurate with honest
market practice and the general principle of good faith in the trader's field of activity.

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 taken by a consumer, whether it is to act or not

act, about whether, how and on what terms to buy, pay in whole or in part for, retain or
dispose of a product or whether, how and on what terms to exercise a contractual right
in relation to a product.

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.

Aggressive marketing communications

Marketing communications are aggressive if, taking all circumstances into account, they

• are likely to significantly impair the average consumer's freedom of choice through
harassment, coercion or undue influence and

• are therefore likely to cause consumers to take transactional decisions they would
not otherwise have taken.

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

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APPENDIX 1: THE CPRS AND BPRS

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.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 120
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.

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.

30.4 Advertising must not contain any material likely to incite hatred based on race,
sex, religion or nationality.

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.

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APPENDIX 2: ADVERTISING RULES FOR ON-DEMAND SERVICES REGULATED BY STATUTE

30.8.3 electronic cigarettes or electronic cigarette refill containers (as defined in the
section 368R of the Act)

30.9 Advertising for alcoholic drinks is prohibited unless

30.9.1 it is not aimed at persons under the age of eighteen, and

30.9.2 it does not encourage excessive consumption of such 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.

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.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 123
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 [link to list of UK-regulated VSPs on Ofcom
website].

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.

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;

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;

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 125
APPENDIX 3 - VSPS - ADVERTISING RULES FOR VIDEO-SHARING PLATFORMS REGULATED BY STATUTE

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.

31.3.c prescription-only medicines

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.

The UK Code of Non-broadcast Advertising and Direct & Promotional Marketing 126