With its enforcement starting on January 17th, 2025, failing to comply with DORA could lead to significant fines for your organisation. In this blog, Katie Barnett, Director of Cyber Security…
Published: March 19, 2024
Guest Blog
Read the latest industry thoughts and opinions in our regular guest blog.
Businesses face an array of social, political, and economic challenges in the current market. If you’re a director or an officer, this is likely to bring additional scrutiny from stakeholders…
Published: February 27, 2024
PIMFA Guest Blog: The FCA works on a risk-based approach and, as such, they group firms according to the level of risk the firm poses to the FCA objectives. Here…
Published: January 30, 2024
Virtually everything concerning you exists online, whether you intentionally share it or not. Each online interaction contributes to the vast pool of data, forming what is commonly referred to as…
Published: January 30, 2024
The regulator aims to avoid disorderly failure, thereby minimising harm to the public and the UK financial system. The Client Assets (CASS) sourcebook contains rules to protect client assets and…
Published: January 30, 2024
PIMFA Guest Blog: CASS – Finding Breaches Is Not All Bad News. Rules breaches can have negative connotations - after all non-compliance is never good. Here Katharine Leaman, CEO at…
Published: January 30, 2024
Whilst you may need to adjust the clocks at home and hunt for the instruction book to change the one on the oven, please remember that the time fields for…
Published: January 30, 2024
The FCA and PRA recently published a joint discussion paper which asks for feedback on the operational aspects of the SM&CR. At the same time HM Treasury also published a…
Published: January 30, 2024
MiFIR transaction reporting data was a surprise inclusion in ESMA’s recent data quality report which has previously focused on EMIR and SFTR.
Published: January 30, 2024
The definition of vulnerability; Advice Guidance Boundary Review; Politically exposed persons (PEPs) and Consumer Duty is not going away
Published: January 25, 2024
PIMFA Guest Blog: Cyber risk management – a board level responsibility. Good cyber governance should include obtaining independent assurance from a cybersecurity specialist – someone who will assess and provide…
Published: December 11, 2023
Environmental, social, and governance (ESG) factors have become increasingly important in today's investment environment, moving from being a minority interest to a common mandate requirement. For senior executives, risk managers,…
Published: November 22, 2023
PIMFA Guest Blog: Cyber risks in a world of AI. Many professional service firms are already using AI or exploring its potential to revolutionise the way they deliver their services.…
Published: November 3, 2023
Love it or hate it, cashflow modelling is an integral part of the modern financial planning client journey. However, there is quite a major elephant in the room in that…
Published: October 3, 2023
One in eight job roles across financial services is now technology centric, double the proportion compared to the wider economy. Yet, demand for these future skills is approximately 20% short…
Published: August 16, 2023
For those of you that might not have seen the detail, in short, the FCA commissioned IPSOS UK to undertake an anonymous survey of 1230 regulated firms. The firms were…
Published: August 16, 2023
In our everyday lives, it can be easy to forget the impact our actions have on the environment, especially in terms of carbon output. As the world focuses more on…
Published: August 8, 2023
The barriers to wellbeing are unique to each individual and that, by taking time to understand how these interplay for each client, advisers can ensure that they have their relationship…
Published: August 2, 2023
The financial services industry is undergoing a rapid digital transformation, and this trend is significantly impacting the UK independent financial adviser (IFA), wealth management and personal pensions space.
Published: August 2, 2023
With a few weeks to go, there is still time to review your Consumer Duty plans and refocus on the changes that will really matter to customers, and that will…
Published: June 27, 2023
It seems we’re endlessly being told that today’s wealth landscape is defined by a never-ending quagmire of shifting complexity. And I don’t dispute this claim – in fact, let us…
Published: May 31, 2023
Guest blogs and the opinions therein reflect the views of the authors and are not necessarily that of PIMFA. No responsibility for loss to any person acting or refraining from acting as a result of any material contained in these blogs can be accepted by PIMFA, the author or publisher.