The Personal Investment Management & Financial Advice Association (PIMFA)

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In Person
24th October, 2024
02:00pm - 05:00pm
Free
CPD: 3hrs

Virtual Event: Understanding Customer Vulnerability – A Guide for Firms Launch

There is currently a significant industry and regulatory spotlight on consumer vulnerability, and it is paramount that firms are able to identify, support and achieve good outcomes for vulnerable customers. The data requests of the wealth management industry and subsequent Dear CEO letters since November 2023 have shown this as a high priority and the expectation from the FCA that this is led from the...
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There is currently a significant industry and regulatory spotlight on consumer vulnerability, and it is paramount that firms are able to identify, support and achieve good outcomes for vulnerable customers. The data requests of the wealth management industry and subsequent Dear CEO letters since November 2023 have shown this as a high priority and the expectation from the FCA that this is led from the top.

PIMFA has been working closely with the regulator and member firms this year to understand better the extent and range of vulnerabilities that customers may face and to ensure that firms can correctly identify and support those customers.

As part of our work, we will be launching a PIMFA Guide on Understanding Customer Vulnerability’, which will be a valuable reference aid and tool for firms to use. The Guide, based on our first version published in 2021, will assist firms with creating vulnerability strategies and implementing processes and procedures that will not only help to meet regulatory obligations but also identify opportunities to enhance how firms serve all their customers.

To mark the publication of the Guide, we will be holding an event on the 24th of October 2024, where we will hear from the FCA and a range of industry CEOs and practitioners to discuss the importance of this topic and to share views and best practices and we would like to invite you to attend this event as our guest. Please see details below:

Date: 24 October 2024
Time: 14:00 – 17:30
Venue: Online

Please note this is a virtual event which will be live-streamed. For further information please contact events@pimfa.co.uk 

If you are a PIMFA Member- Please ensure you are logged in to your account first before adding a ticket to your basket to access the member discounts.

 

Partners

Platinum Partner
Virtual Event: PIMFA Guide on Vulnerable Customers Launch
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Virtual Event: PIMFA Guide on Vulnerable Customers Launch
13:00 - 16:30

Paul Geddes

Group CEO
Evelyn Partners

Graeme Reynolds

Director, Consumers and Competition
Financial Conduct Authority (FCA)

Alexandra Roberts

Head of Regulatory Policy and Compliance
PIMFA

Liz Field

Chief Executive
PIMFA

Stuart Dodson

Managing Director
The Openwork Partnership

Sarah Owen-Jones

Chief RisK Officer
Rathbones

Richard Flynn

Managing Director
Charles Schwab

Zoe Morton

Director
RSM

David Mulholland

Business Development Manager
Brooks MacDonald

Tracy Coghill

Risk and Compliance Officer
City Asset Management

Trisha Horncastle

Compliance Technical Manager
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