BEGIN:VCALENDAR VERSION:2.0 PRODID:-//PIMFA - Building Personal Financial Futures - ECPv6.17.2//NONSGML v1.0//EN CALSCALE:GREGORIAN METHOD:PUBLISH X-WR-CALNAME:PIMFA - Building Personal Financial Futures X-ORIGINAL-URL:https://www.pimfa.co.uk X-WR-CALDESC:Events for PIMFA - Building Personal Financial Futures REFRESH-INTERVAL;VALUE=DURATION:PT1H X-Robots-Tag:noindex X-PUBLISHED-TTL:PT1H BEGIN:VTIMEZONE TZID:Europe/London BEGIN:DAYLIGHT TZOFFSETFROM:+0000 TZOFFSETTO:+0100 TZNAME:BST DTSTART:20240331T010000 END:DAYLIGHT BEGIN:STANDARD TZOFFSETFROM:+0100 TZOFFSETTO:+0000 TZNAME:GMT DTSTART:20241027T010000 END:STANDARD BEGIN:DAYLIGHT TZOFFSETFROM:+0000 TZOFFSETTO:+0100 TZNAME:BST DTSTART:20250330T010000 END:DAYLIGHT BEGIN:STANDARD TZOFFSETFROM:+0100 TZOFFSETTO:+0000 TZNAME:GMT DTSTART:20251026T010000 END:STANDARD BEGIN:DAYLIGHT TZOFFSETFROM:+0000 TZOFFSETTO:+0100 TZNAME:BST DTSTART:20260329T010000 END:DAYLIGHT BEGIN:STANDARD TZOFFSETFROM:+0100 TZOFFSETTO:+0000 TZNAME:GMT DTSTART:20261025T010000 END:STANDARD END:VTIMEZONE BEGIN:VEVENT DTSTART;TZID=Europe/London:20251014T093000 DTEND;TZID=Europe/London:20251014T113000 DTSTAMP:20251106T150536Z CREATED:20250729T133105Z LAST-MODIFIED:20251106T150536Z UID:333551-1760434200-1760441400@www.pimfa.co.uk SUMMARY:Getting Financial Promotions Right in a Post Consumer Duty ERA DESCRIPTION:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-getting-financial-promotions-right-in-a-post-consumer-duty-era/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2025/07/PIMFA-webinar-favicon-copy-02-scaled.png LOCATION:https://www.pimfa.co.uk/event/pimfa-live-online-learning-getting-financial-promotions-right-in-a-post-consumer-duty-era/ END:VEVENT END:VCALENDAR