PIMFA Compliance Conference 2026

Our opening keynote for the Compliance Conference 2026 will set the scene by focussing on headline issues, including regulatory priorities for the year, consumer access, and the broader direction of travel for the industry as we navigate through an environment of international economic uncertainty.

In addition to the macro focus of our first keynote, we will also home in on the FCA’s key sector priorities for wealth and financial advice in 2026, including the latest themes relating to Consumer Duty, such as managing subjectivity in regulation and how compliance functions oversee and challenge business interpretation.

Our first panel for the event will draw on the themes from the keynote and feature senior industry compliance figures reflecting on their strategic response to regulatory change, including their interpretation of the FCA direction of travel, and reflection on how firms are positioning on growth vs risk at a leadership level.

Our final keynote of the event will shine a specific light on redress reforms, and the direction of travel in this area. Expect insights on practical implications for firms, and a strategic view on how far firms have confidence in the redress and compensation framework.

This panel will include a cross-functional roster of industry participants to discuss AI use cases being seen in the industry and accompanying operational implications and oversight and risk conditions. The panellists will also touch on the cyber security aspect of introducing new technologies within an existing corporate framework and consider the evolving regulatory focus in this area.

This presentation will focus on the latest updates from the FCA’s review of how consumer investment firms handle bereaved clients. This session will focus on the regulator’s approach toward customer treatment, and how this intersects with wider vulnerability and consumer duty considerations that compliance professionals need to be aware of as it develops.

After lunch we will return with a panel dedicated to NFM, on how firms have been preparing, application of judgement, and challenges in developing healthy, professional workplace cultures. Our expert industry panellists will cover issues such implementation challenges ahead of deadlines and aim to provide a fruitful and open discussion around this important and sensitive topic.

This presentation will consider how the CASS framework is evolving in the context of wealth management, with a focus on control, oversight and key risk areas, alongside the potential impact of data and emerging technologies such as AI.

For our final session of the day, a selection of industry leaders will convene to discuss ongoing advice and the simplified advice rules. The panel will also cover technical insights on advice models, liability, and the operational reality of these changes.