The Personal Investment Management & Financial Advice Association (PIMFA)

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Virtual
28th January, 2025 - 11th December, 2025
10:00am - 11:00am
£595.00 – £850.00
CPD: 12hrs

PIMFA Learning: The SMF Regulatory Briefing Programme 2025 – All You Need to Know About Everything That Matters Most

PIMFA’s SMF (Senior Managers Function) Regulatory Briefing Programme is a 12-month online leadership programme for time-strapped senior managers who need to cut through the regulatory noise and grasp, from a senior leader's perspective, how to better measure, manage, and monitor compliance and regulatory risks within their firm.
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What the FCA expects from Senior Managers

The FCA takes the competence of your Senior Managers very seriously. Upon applying to become an SMF, the FCA expects an individual to demonstrate a high level of skill and knowledge to carry out the role, supporting their application by completing a skills gap analysis, learning and development plan, and competency assessment.

Remaining Fit and Proper

But the regulator’s scrutiny of an SMF doesn’t stop at the application stage. The FCA expects your firm to ensure that your SMF holders continue to possess the requisite skills, particularly concerning the latest regulatory developments. Annual fit and proper assessments, mandated by the regulator and conducted by your firm, are not a ‘tick box’ exercise requiring you instead to carefully assess whether your senior managers are competent in performing their roles.

The solution

PIMFA’s new 12-monthSMF Regulatory Briefing Programme’ supports SMF holders in learning everything they need to know about the issues that matter most to them. It also prepares prospective SMF holders for the highest level of leadership. The programme consists of a series of live, monthly, online one-hour sessions on critical compliance, risk and financial crime challenges, enabling SMFs to:

  • Keep up to date with the latest regulatory trends and initiatives
  • Demonstrate their commitment to regulatory proficiency
  • Access the training at a convenient time, through our on-demand learning platform
  • Document CPD activity as required

Highlights and key outcomes

By enrolling on ‘The SMF Regulatory Briefing Programme 2025’, SMFs will be able to:

  • Evidence to the FCA their in-role competency and capability required under SMCR.
  • Rapidly assess the firm’s compliance exposure and vulnerabilities.
  • Get ahead and make sense of a broad, complex, and ever-evolving regulatory and compliance landscape.
  • Set priorities to develop a proactive regulatory change management programme.
  • Lead your firm on how best to mitigate risks, create a firm-wide compliance culture, make sound decisions, and build resilience across the business.
  • Improve their strategic thinking and ability to respond to regulatory change effectively.
  • Explore with peers the latest research and best practices for managing risk to safeguard enterprise value.

Session format

Each session includes a mix of expert-led presentations, real-world case studies and small group discussions.

Programme topics and schedule

Through 12 sessions, SMFs develop the knowledge and insights on the latest regulatory changes and compliance challenges required to protect their firm’s assets, reputation, and competitive advantage.

Format: 12 x 1-hour monthly sessions

Delivery: Live, expert-led online learning sessions

Start date: 28 Jan 2025 – 11th Dec 2025

Duration: 12 months

Partners

CCL Academy Limited

Education
South East
Host Partner
More  
CCL Academy is a dedicated compliance training provider with courses that span the full range of compliance topics suitable for your whole business. Whether you need awareness-based training for…
The SMF Regulatory Briefing Programme 2025 - All You Need to Know About Everything That Matters Most
28th January 2025- Compliance and Risk outlook for 2025 [incl. AI]
10:00 - 11:00
13 February 2025- SMFs’ Responsibility for Operational Resilience
10:00 - 11:00
20th March 2025- Financial Crime Update for SMFs
10:00 - 11:00
17 April 2025- SMFs and Vulnerable Customers
10:00 - 11:00
8th May 2025- Suitability for SMFs
10:00 - 11:00
12th June 2025- Consumer Duty Update for SMFs
10:00 - 11:00
17th July 2025- ESG Update for SMFs
10:00 - 11:00
14th August 2025- SMFs’ Responsibilities for Whistleblowing
10:00 - 11:00
11th September 2025- Non-Financial Misconduct and D&I update
10:00 - 11:00
16th October 2025- Challenges for SMFs in recent enforcement cases
10:00 - 11:00
13th November 2025- SMFs and Corporate Governance
10:00 - 11:00
11th December 2025- Key KYC Challenges for SMFs
10:00 - 11:00

CCL Academy Limited

Education
South East
Host Partner
More  
CCL Academy is a dedicated compliance training provider with courses that span the full range of compliance topics suitable for your whole business. Whether you need awareness-based training for…

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