PIMFA Compliance Conference 2017

29th June 2017

Herbert Smith Freehills
Exchange House
Primrose Street

£ 225 + VAT (Members)
£ 450 + VAT (Non Members)

Registration is now open for PIMFA Compliance Conference taking place on 29th June 2017 at the offices of Herbert Smith Freehills, London.


This full day conference will bring together a high-level audience to engage with the leading industry experts and discuss key issues shaping the compliance in the investment management and financial advice world. 

  • Overview

  • Agenda

  • Speakers

  • Sponsor

What you can expect:

       ·        120 senior level attendees

       ·        8 hours dedicated networking

       ·        5 hours of CPD  

       ·        Content designed driven by PIMFA Regulatory Board Sub-Committee 

Please click here for the agenda

Topics include:

·         Nick Miller, the new  Head of Investment Management Supervision, speaking on
           “Current issues in Wealth Management Regulation”

·         An Ombudsman from Financial Ombudsman Service - Current trends within our sector and feedback on           complaints handling

·         Senior Managers Regime – including interaction with Employment law

·         PRIIPs – walk through a KIID what is the derivation of the content?

·         Money Laundering Steering Group’s – review of new Guidance

·         MiFIDII  update

John Barrass, Deputy Chief Executive, PIMFA
Ian Cornwall, Director of Regulation, PIMFA
Clive Cunningham, Partner, Financial Services Regulation
Hywel Jenkins, Partner, Herbert Smith Freehills
Nick Miller, Head of Investment Management Supervision, Financial Conduct Authority (FCA)
Caroline Mitchell, Lead Ombudsman, Financial Ombudsman Service (FOS)
Louise Stanway, Chair, Joint Money Laundering Steering Group
Sarah Thomas, Senior Associate Financial Services Regulation, Herbert Smith Freehills
Christine Young, Partner Employment Law, Herbert Smith Freehills