Register

The Personal Investment Management & Financial Advice Association (PIMFA)

Join

Show All Results

Filter by Topics

Dictionary

Login Home
Why PIMFA
Our Work
Events & Learning
News
Indices
About Us
Why PIMFA
Our Work
Regulatory Policy and Compliance
Ensuring firms adhere to rules, guidelines, and regulations, maintaining market integrity and consumer protection....
Brexit
The UK's departure from the EU, requiring regulatory adjustments to ensure financial stability and consumer protection....
Consumer Duty
Consumer Duty requires firms to act in the best interests of customers, ensuring fair outcomes and clear communication....
Customer Vulnerability
Where consumers may be more susceptible to harm, requiring firms to provide fair treatment, support, and tailored services....
Data Protection
Safeguarding data through secure processing, compliance with regulations, transparency, and preventing misuse or unauthorised access....
Financial Crime
Protecting against activities like fraud, money laundering, and market abuse, threatening financial system integrity and consumer protection....
Financial Services Compensation Scheme
The UK’s statutory compensation scheme for customers of UK authorised financial services firms. It can step in to pay compensation if a firm is unable, or likely to be unable,...
Future of Advice
Evolving financial advice models, ensuring accessibility, affordability, and consumer protection in changing markets....
Markets in Financial Instruments Directive/Regulation (MiFID/MIFIR)
Regulation to enhance financial markets transparency, investor protection, and improving trading practices across financial sectors....
Pensions
The increasingly complex pension landscape for firms as they navigate a changing regulatory environment....
Product Disclosure
PRIIPs (Packaged Retail and Insurance-based Investment Products) ensuring transparent, standardised information for retail investors on investment products....
Retail Disclosure Framework
Providing clear, accurate information to consumers about financial products, ensuring transparency and informed decision-making....
Senior Managers Certification Regime (SMCR)
SMCR (Senior Managers and Certification Regime) ensures accountability, clarifies roles, and enhances individual responsibility within financial services firms....
Sustainable Finance and ESG
Integrating environmental, social, and governance factors into investment decisions to promote long-term positive impact....
Talent, Inclusion, Diversity and Equity (TIDE)
Find out more to see how PIMFA is committed to promoting Talent, Inclusion, Diversity and Equity (TIDE) in our industry....
Public Affairs
Managing relationships with stakeholders, including government, regulators, and the public, to help shape policy and regulatory outcomes....
Operations
Firm’s internal processes, systems, and controls, ensuring efficient, secure, compliant, and resilient operational functions....
Advisers' Sustainabilty Group
Industry-led working group to focus on enhancing sustainable finance capabilities within the financial advice sector....
UK Platform Group
An independent group of retail platforms working together to drive positive change. Run by platform firms, for platform firms....
Talent, Inclusion, Diversity and Equity
Promoting talent, a diverse workforce, and creating inclusive environments....
Leading Lights Forum
The PIMFA Leading Lights Forum brings together talented young people from across our member firms who conduct primary research focusing on current hot topics impacting us all across our industry....
PIMFA Wealthtech
PIMFA's FinTech platform and digital marketplace created to drive innovation and enhance collaboration between FinTechs and the wealth management and financial advice sector....
PIMFA Groups
PIMFA Groups consist of committees, forums, briefings and working groups for our member firms to discuss and examine key topics within our industry....
Guides
See a range of Guides to support our member firms covering different topics....
Thought Leadership
Engaging with stakeholders to shape policies, providing insights and promoting informed industry discussions....
Response Papers
PIMFA responds on behalf of our membership to regulator and government consultations. We do this via feedback and discussion with member firms via our committees, working groups....
make it. Campaign
Our 'make it' campaign is dedicated to changing perceptions and encouraging an exciting and diverse mix of new talent into our industry....
Events & Learning
PIMFA Events
Connect, collaborate and celebrate with PIMFA Events. From insightful webinars and thought-provoking symposiums to prestigious awards and vibrant networking opportunities, our events bring the wealth management and financial advice community...
PIMFA Learning
Elevate your expertise with PIMFA Learning Events - dynamic, industry-focused training designed to empower financial professionals. Stay ahead with cutting-edge insights, practical skills, and networking opportunities tailored for your growth....
PIMFA Learning Programmes
PIMFA Learning provides expert-led courses and resources to help you develop skills and stay compliant in the wealth management and financial advice industry.”...
Podcasts
Short, deep dive conversations with experts on the topics that matter most to you....
Webinars on Demand
View our past webinars on demand....
PIMFA Groups
PIMFA Groups consist of committees, forums and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues such...
Get Involved
Take an active role in shaping the industry's future. Whether you're looking to attend, sponsor, exhibit, or speak, PIMFA Events offer unparalleled opportunities to connect, share insights, and make an...
Industry Events
Stay informed and engaged with PIMFA's Industry Events. Discover a curated selection of conferences, seminars, workshops, and networking opportunities hosted by industry leaders. Stay ahead of trends, gain fresh insights...
News
Indices
The MSCI PIMFA Private Investor Index Series
The MSCI PIMFA Private Investor Index Series is a set of indices designed to represent the performance of a diversified portfolio of assets that are relevant to private investors....
The MSCI PIMFA Equity Risk Index Series
The MSCI PIMFA Equity Risk Index Series is a collection of five composite indices designed to mirror the performance of multi-asset strategies employed by UK wealth management firms....
About Us
About PIMFA
PIMFA is the voice of the UK’s personal wealth services sector. PIMFA champions a culture of financial health for all and represents and supports providers of wealth management services, financial...
PIMFA Staff
PIMFA's staff cover a variety of aspects at PIMFA from expert technical guidance to membership support and much more....
PIMFA Board
PIMFA’s Board governs the workings and strategic direction of PIMFA led by our Chairman, Lord Deben, and CEO, Liz Field. It consists of leading senior figures from a representative...
PIMFA Groups
PIMFA Groups consist of committees, forums, briefings and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues...
Advisers' Sustainability Group
PIMFA provide the Secretariat to the FCA's industry-led working group to focus on enhancing sustainable finance capabilities within the financial sector....
UK Platform Group
An independent group of retail platforms working together to drive positive change. Run by platform firms, for platform firms....
Corporate Social Responsibility/Sustainability
Sustainable Finance & ESG is an area of strategic focus for PIMFA making sure we are championing a high standard for our future....
Annual Report
PIMFA’s annual report is a review of our purpose, activity and key achievements over our membership year which runs from 1st June to 31st May....
PIMFA Members
PIMFA's membership is on a corporate level. We represent both full and associate member firms. See who our member firms are....
PIMFA Plus
PIMFA Plus offers our full and associate member firms a suite of valuable services and curated products at bespoke rates from specialised partners that work with PIMFA....
PIMFA Careers
Job opportunities at PIMFA....
Find a Firm
Use our online directory to find a PIMFA member firm who can help you manage your money, buy and sell shares and access financial advice....
About Our Industry
Our industry helps people navigate the difficult financial decisions needed throughout the stages of their life. These professionals provide valuable expertise and support. ...
PIMFA Members
PIMFA's membership is on a corporate level. We represent both full and associate member firms. See who our member firms are....
PIMFA Plus
PIMFA Plus offers our full and associate member firms a suite of valuable services and curated products at bespoke rates from specialised partners that work with PIMFA....
PIMFA Groups
PIMFA Groups consist of committees, forums, briefings and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues...
PIMFA WealthTech
PIMFA Wealthtech develops new concepts and promotes the latest technologies for the benefit of our members....
Find a Firm
Use our online directory to find a PIMFA member firm who can help you manage your money, buy and sell shares and access financial advice....
Want to Collaborate?
Get in touch if you would like to collaborate with us in any of these areas. ...
Contact Us
All the details you will need to contact PIMFA....

Show All Results

Filter by Topics

PIMFA AI Leaders Incubator Programme 2026

Starting next year, PIMFA and Publicis Sapient have joined forces to create the AI Leaders Incubator - a two-day, high-intensity learning experience built to move your firm from experimentation to execution. With the hands-on support of experts, you’ll learn to design, test, and deploy real AI use cases that deliver measurable business results. Using proven frameworks and hands-on labs, you’ll define your roadmap to ROI - building the confidence, capability, and conviction to turn insight into execution, and execution into impact.
Find out more

PIMFA Ongoing Advice Services - Guidance for firms

Our new guide helping member firms in their approach to the delivery of Ongoing Advice Services.
Read Now

About Our Industry

PIMFA is the UK’s leading trade association for firms that provide investment management and financial advice to everyone from individuals and families to charities, pension funds, trusts and companies.
Find out more

Our Mission

Our mission is to help create a UK culture of thriving financial health through constructive advocacy, creating connections and practical support.

Constructive Advocacy

As the voice of the industry, PIMFA champions our members to key stakeholders such as regulators, policymakers, business leaders, media and consumers. Through our compliance, regulatory and public affairs work, we work to actively educate and positively impact perceptions of our sector. We promote our sector as a force for good to help build a thriving culture of financial health in the UK. We also lead the way in developing best practice across the industry in areas of change such as digital transformation, DE&I and ESG.
More

Creating Connections​

PIMFA's collaboration from every corner of the industry to provide important opportunities to exchange ideas and partner on initiatives.​
More

Supporting Practice​

PIMFA are dedicated to providing hands-on guidance and practical support to our members on the wide-ranging issues impacting them and their customers.​
More

PIMFA Groups​

PIMFA Groups consist of committees, forums and working groups which provide an opportunity for individuals from our member firms to discuss and examine key topics within our industry such as financial crime, regulation & compliance, talent, operations and much more.​
More

PIMFA Board​

Find out more about the PIMFA Board Members here.​
More

Why Join PIMFA

PIMFA offers value to members across a variety of important activities and interventions. As the voice of the industry, we represent our members to all key stakeholders and promote the value of the profession. We also pride ourselves on providing expert knowledge and information with practical support and useful tools to all our members.​
More

Our Work

PIMFA's work programme is created following strategic input from member feedback, the Board and wider committees - alongside the UK's political and regulatory agenda. We focus on key areas that are both hot topics of the moment and the pillars of business that support the operation of our member firms by providing invaluable support and guidance on incoming changes, their implications and their implementation.​
More

PIMFA Groups​

PIMFA Groups consist of committees, forums and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues such as Financial Crime, Regulation, Taxation, and much more.​
More

PIMFA Plus

PIMFA collaborates with product and service providers to offer member firms a suite of membership enhancements. ​ ​PIMFA Plus Partners are by invitation only.​
More

Indices​

The MSCI PIMFA Investor Index Series and Risk Index Series - both designed to represent their respective weightings, show returns of selected multi-asset-class strategies and are used as benchmarks to compare the performance and returns of private client investment portfolios.​
More

Events & Learning

Connect, collaborate, and celebrate with PIMFA Events. From insightful webinars and thought-provoking symposiums to prestigious awards and vibrant networking opportunities, our events bring the wealth management and financial advice community together. Elevate your expertise with PIMFA Learning events (with up to 50% discount on paid events) - dynamic, industry-focused training designed to empower financial professionals. Stay ahead with cutting-edge insights, practical skills, and networking opportunities tailored for your growth.
More

PIMFA WealthTech​

PIMFA WealthTech represents the wealth and financial advice sector and brings together senior decision makers to address the most pressing issues surrounding technology focus, partnerships, and adoption across the value chain.​ Our market network and technology platform connect the sector with the most innovative WealthTech solutions, working closely with leading financial institutions to identify, prototype, and deliver cutting- edge technologies that drive competitive advantage. ​ ​
More

Tech Sprints

PIMFA WealthTech acts as a clearing house by delivering structured showcases, known as Tech Sprints, of the latest technology innovations and solutions that address key problem statements faced by the sector
More

News & Insights

Read more

WealthTech Dictionary

More

PIMFA News

The PIMFA communications hub - your one stop shop for the latest news, publications and thought leadership on important developments happening within our industry.​

PIMFA Reponse to FCA CP25/25 – Application of FCA Handbook for Regulated Cryptoasset Activities

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: November 13, 2025
View Response

PIMFA Bulletin​

The PIMFA Bulletin is our weekly email update delivering news and current affairs from within and around the industry. It also provides future insight on upcoming events and important information for members to be aware of.​
Bulletin

Annual Report

PIMFA’s annual report is a review of our purpose, activity and key achievements over our membership year which runs from 1st June to 31st May.
Annual Report

PIMFA Journal

PIMFA’s magazine contains articles and thought leadership on current issues, hot topics and future developments from PIMFA members. Always a thought-provoking read.​
Journal

PIMFA Blog

Read the latest thoughts and opinions from PIMFA in our regular blog here.​
Blog

“Inclusion is a business imperative” says industry leaders at PIMFA Roundtable

PIMFA and leaders across its member firms reaffirmed its unwavering commitment to fostering an inclusive, equitable, and forward-thinking industry culture during a roundtable event. They emphasised that inclusion is a…
Published: October 30, 2025
Read More

Supporting Members

This section contains full access to hot topic guides, briefing documents, detailed regulatory support, hints, tips and latest information on all the key developments impacting our community from policy, regulation and compliance, to operations, DE&I, financial crime and more.​

Customer Vulnerability​

All customers are at risk of becoming vulnerable, but the risk is increased by particular characteristics and the FCA have key expectations for firms that need careful consideration as they implement this principals-based regulation.​
More

PIMFA Compliance Conference 2026

Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world. Bringing together a high-level audience who can engage with the experts, this conference will facilitate fruitful discussions with opportunity for questions and networking. …
Date & Time: 24th Sep 2026 (8:00) - 24th Sep 2026 (17:00)
CPD: TBC Location: Live
Conference
PIMFA Events
View Event

Consumer Duty​

The Consumer Duty is intended to ensure a higher standard of care across financial services for retail customers and to deliver good consumer outcomes throughout the life cycle of products and services.​
More

Sustainable Finance & ESG​

Sustainable finance and taking environmental, social and governance (ESG) issues into account is an important consideration for firms and customers alike and impacts their decision making on both long-term investment and the wider impact of their activities. ​
More

Retail Disclosure Framework​

Retail disclosure is a catch-all term for the wide range of regulatory provisions that require firms to provide information to their customers.
More

Financial Crime​

Financial crime, broadly defined as any criminal conduct relating to money or financial services, including fraud, money laundering, the misuse of information, bribery and corruption, handling the proceeds of crime, financing terrorism, or cybercrime, currently​ costs UK institutions £38.3bn* a year (a 32% increase since 2021). *Source: LexisNexis Risk Solutions (2023) ​ ​
More

PIMFA Compliance Conference 2025

Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world. Bringing together a high-level audience who can engage with the experts, this conference will facilitate fruitful discussions with opportunity for questions and networking. …
£275.00 – £630.00
Date & Time: 25th Sep 2025 (8:30) - 25th Sep 2025 (18:00)
CPD: 6 Location: Hybrid
Conference
PIMFA Events
View Event

The voice of the industry

We represent the wealth management and financial advice sector to government and regulators to create positive, meaningful change for our members and their customers.

Our Agenda for Government ​

In this agenda for Government, PIMFA outlines a series of initiatives we believe will help build a culture of thriving financial health in the UK.​
More

Parliamentary Support​

PIMFA are committed to working constructively with parliamentarians, government and other stakeholders to provide insight, guidance and solutions to the UK’s policy and regulatory challenges.​
Parliamentary Support

Future of Advice​

The need for consumers to receive support in their financial decision making has never been greater, yet the take up of advice remains low. PIMFA strongly believes that this advice and support gap needs to be addressed by both the Government and Regulators, ensuring that people are able to access the right support.​
More

Supervision​

PIMFA has put forward considerations and proposals regarding the future of supervision in our sector. Our work outlines our ideas on how the UK's regulator could make improvements in its role as a supervisor of regulated firms and in delivering its regulatory objectives.​
More

Press Releases​

Read the latest PIMFA Press Releases.​
More

Practical Support

Supporting our members with day-to-day operational requirements and issues by providing strategic views and direction across a wide range of industry priorities, change, regulatory developments and consultation.​

Cyber Security

Cyber Security is an important subject for PIMFA and explores a wide range of issues impacting our sector, and develops best practices and guidance.
Find out more here

CASS (Client Assets Sourcebook)​

The FCA’s CASS (‘Client Assets Sourcebook’) rules have been created to ensure that client assets are safeguarded in the event of an investment firm’s failure. If a firm holds or controls their clients’ money or their assets, they must follow the CASS rules.
More

Transaction Reporting​

Transaction reporting is the requirement for firms to report details of financial transactions to regulatory authorities.​
More

T+1 Accelerated Settlement​

In December 2022, the UK Government launched an Accelerated Settlement Taskforce (T+1) to explore the potential for faster settlement of financial trades in the UK. Transaction date + 1 means the settlement date of a trade is one business day after the trade execution date.
More

PIMFA CASS Academy?​

The PIMFA CASS Clients Academy is a unique learning experience for member firms who seek to expand their knowledge and strengthen their internal capabilities to arrest rising CASS audit fees and ensure the number of incidences and breaches reported to the FCA continues to drop.
More

Thought Leadership

This section contains access guides and thought leadership material.

Responses Papers

Through essential work with PIMFA's committees (comprised of member firms) we create responses to industry consultations on important key issues. Through this process we represent our members interests to key bodies such regulators and government. ​ ​
More

PIMFA Reponse to FCA CP25/25 – Application of FCA Handbook for Regulated Cryptoasset Activities

Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: November 13, 2025
View Response

Guides​

Read PIMFA's member only practical guides written by our experts to help our member firms interpret, comply and implement political and regulatory changes.​
More

Thought Leadership​

Read PIMFA's member only practical guides thought leadership, written by our experts to support our member firms and to drive change through the industry on priority topics.
More

PIMFA Groups​

PIMFA Groups consist of committees, forums, briefings and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry.
More

Connect, collaborate, and celebrate

From insightful webinars and thought-provoking symposiums to prestigious awards and vibrant networking opportunities, our events bring the wealth management and financial advice community together.​

Leading Lights Forum

The PIMFA Leading Lights Forum people from across our member firms to learn and collaborate with their peers, and to conduct primary research focusing on current hot topics impacting us all across our industry.​
More

Get Involved​

Interested in knowing more about the options to be involved in our events, learning and training? ​ We have opportunities sponsorship, partnership, speaking, branding and much more. Contact us to find out more.​
More

PIMFA Women’s Symposium 2026

Following from the HUGE success of the PIMFA Women’s Symposium 2025, we are delighted to announce details of the 2026 event. …
£350.00 – £1,100.00
Date & Time: 19th May 2026 (8:00) - 20th May 2026 (17:00)
CPD: 6 Location: London excel
PIMFA Events
Symposium
View Event

PIMFA Compliance Conference 2026

Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world. Bringing together a high-level audience who can engage with the experts, this conference will facilitate fruitful discussions with opportunity for questions and networking. …
Date & Time: 24th Sep 2026 (8:00) - 24th Sep 2026 (17:00)
CPD: TBC Location: Live
Conference
PIMFA Events
View Event

PIMFA Leading Lights Forum 2026

Join us to hear the latest findings from the PIMFA Leading Lights 2025 cohort. …
Free
Date & Time: 11th Feb 2026 (14:00) - 11th Feb 2026 (18:00)
CPD: TBC Location: DAC Beachcroft
Forum
PIMFA Events
View Event

PIMFA Compliance Conference 2025

Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world. Bringing together a high-level audience who can engage with the experts, this conference will facilitate fruitful discussions with opportunity for questions and networking. …
£275.00 – £630.00
Date & Time: 25th Sep 2025 (8:30) - 25th Sep 2025 (18:00)
CPD: 6 Location: Hybrid
Conference
PIMFA Events
View Event

Elevate your expertise

PIMFA Learning offers dynamic, industry-focused training designed to empower financial professionals. Stay ahead with cutting-edge insights, practical skills, and networking opportunities tailored for your growth. ​

Webinars​

Stay informed of the latest regulatory, compliance and risk issues impacting your firm.​
Learning Webinars

Podcasts​

Short, deep dive conversations with experts on the topics that matter most to you.​
Listen

The Wealth Management Financial Crime Compliance Learning Programme – Meeting FCA Expectations in 2025 and Beyond

PIMFA’s monthly Wealth Management Financial Crime Compliance Learning Programme ensures senior managers, MLRO/DMLOs, Heads of Compliance, compliance officers and legal professionals don’t just keep up to date with key changes and regulatory deadlines, but develop the clarity, direction and insight they need to design an effective and efficient anti-financial crime control framework that protects their firm, creates value and enhances revenue opportunities. …
£695.00 – £895.00
Date & Time: 12th Nov 2025 (0:00) - 12th Nov 2025 (23:59)
CPD: 12 Location: Virtual
Learning
Programmes
View Event

PIMFA Podcast: Drawing the Line: What Counts as Non-Financial Misconduct in Wealth & Advice

A deep dive into where the FCA is drawing the line on behaviour and what firms must recognise as non-financial...
28/11/2025
View Podcast

PIMFA Learning: Authentic Leadership: How to thrive as a female leader in wealth and finance-2025

The PIMFA Authentic Leadership Programme …
£1,875.00 – £4,250.00
Date & Time: 14th Oct 2025 (0:00) - 14th Oct 2025 (23:59)
CPD: 12 Location: See description for details
Learning
Programmes
View Event

PIMFA Plus

PIMFA collaborates with product and service providers to offer member firms a suite of membership enhancements from our PIMFA Plus Partners (partnerships are by invitation only).​

Self-Assessment Tax Return made simple. ​
View

Bring lost accounts, pensions and investments back home. Find everything from your first bank account to your forgotten shares.​
View

ID-Pal is an award-winning identity verification and AML screening solution that uses 100% AI-powered technology to verify identities and addresses in real-time.​
View

Insignis offers active management of cash deposits to improve returns for your clients. With a single Insignis account, clients gain access to the whole savings market.​
View

Mitigo is a cyber security company offering a complete cyber security service to keep your company, your data, and your staff completely safe from cyber-attacks. ​
View

Specialising in the financial services sector, Onyx Insurance Brokers is committed to offering tailored insurance solutions that address the specific risks and challenges faced by professionals in this industry.​
View

Advancing digital integration in wealth management in delivering safer, more accessible, and more effective outcomes for all retail investors by leveraging the latest low–code automation technology, building essential links that allow legacy systems to work in harmony with the evolving technology landscape.​
View

Talent, Inclusion, Diversity, and Equity

Promoting Talent, Inclusion, Diversity, and Equity (TIDE) within our industry is a strategic areas of focus for us and PIMFA run a host of initiatives to help support member firms and new talent coming in to the industry. Find out more here.

PIMFA is committed to promoting Talent, Inclusion, Diversity, and Equity (TIDE) within the wealth management, investment services and financial advice industry.​
More

As part of our ongoing work, our ‘make it.’ campaign is dedicated to changing perceptions and encouraging an​ exciting and diverse mix of new talent into our industry​.
More
Enjoying our website? Email us anytime with your feedback!