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DTSTART;TZID=Europe/London:20251113T000000
DTEND;TZID=Europe/London:20251113T000000
DTSTAMP:20260423T205957
CREATED:20251113T160734Z
LAST-MODIFIED:20251120T133237Z
UID:268091-1762992000-1762992000@www.pimfa.co.uk
SUMMARY:PIMFA Learning: PwC Consumer Duty Series- Session 1: Testing consumer outcomes
DESCRIPTION:The Duty requires firms to help customers achieve good outcomes\, and to report on this annually. Consequently\, firms must be able to measure if they are achieving good outcomes for their customers. \nThis workshop will focus on: \n• Helping firms consider the design considerations for testing each of the four outcomes.\n• Considering what data will be required for monitoring and testing outcomes.\n• Considering what actions may be required to remediate poor outcomes.
URL:https://www.pimfa.co.uk/event/pimfa-learning-pwc-consumer-duty-series-session-1-testing-consumer-outcomes/
CATEGORIES:Learning,Live Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251113T000000
DTEND;TZID=Europe/London:20251113T000000
DTSTAMP:20260423T205957
CREATED:20230328T181526Z
LAST-MODIFIED:20251113T155051Z
UID:273441-1762992000-1762992000@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Consumer Duty Series - Session 3: MI\, Reporting and Governance
DESCRIPTION:With fundamental regulatory change like the introduction of the Consumer Duty\, the problem for firms both large and small often isn’t with planning – many strategies are well developed – but with execution. The Consumer Duty series tackles the implementation of Consumer Duty head-on to provide PIMFA member firms with a well-structured approach for Project Leads\, Compliance & Risk Heads alongside Senior Managers to confidently meet the July deadline. \nYou will return from each of the three sessions with a set of tools and approaches you can use to: \n\n\n\nImprove your ability to organise\, manage\, and prioritise the key requirements of the Duty\nAnticipate and avoid pitfalls that could derail your project plan.\nRespond to FCA’s latest announcements and instructions.\nAddress your firm’s most critical Consumer Duty issues.\nFeedback and answers to your Consumer Duty execution challenges\n\n\n\nSession Three: MI\, Reporting and Governance \nThe Consumer Duty expects firms to monitor and regularly review the outcomes that customers are experiencing\, identify sources of poor outcomes and harm\, and make necessary changes to products and services.  Boards are expected to oversee the implementation of the Duty\, and to annually confirm their firm’s adherence to the rules.  Firms must develop their own reporting and governance structures to achieve this. \nThis session (that you can attend in person or online) will focus on: \n\n\n\nHow firms can develop Consumer Duty MI\, reporting and governance that covers the appropriate products\, services\, touch points and customer types for their unique activities.\nHow the Board can demonstrate that making good outcomes for consumers is central to their firm’s culture\, strategy and business objectives.\n\n\n\nBy the end of this session\, you will: \n\n\n\nGet clarity on the different data to be collected across each of the key Consumer Duty outcomes\nIdentify and bridge gaps in your MI\nDevelop actionable and understandable MI\, that meets regulator expectations\nConsumer Duty obligations will require different data to be collected across each of the key Consumer Duty outcomes\nLearn\, from our own research\, how firms intend to use MI to evidence good consumer outcomes\nKnow how to join the data dots up between different areas of your business to form a coherent Board report\n\n\n\nFormat and approach \nYou can attend this two-hour in-person session at the PwC London office or online. However you choose to participate\, this session is run as an interactive learning experience that brings the research and experience of the PwC Wealth Management team together with senior managers who want to strengthen their firms’ approach to Consumer Duty implementation. In this online workshop\, you will be broken into smaller discussion groups to work through exercises\, discuss scenarios and collaborate with your peers on solutions to overcome even your most challenging execution obstacles.
URL:https://www.pimfa.co.uk/event/cdsession3/
CATEGORIES:Learning,Live Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251106T093000
DTEND;TZID=Europe/London:20251106T113000
DTSTAMP:20260423T205957
CREATED:20250724T082233Z
LAST-MODIFIED:20250916T115747Z
UID:332873-1762421400-1762428600@www.pimfa.co.uk
SUMMARY:Market Abuse 2025 refresher for Wealth Managers
DESCRIPTION:The FCA continues to focus on market abuse\, and its messages and publications indicate that it is not looking to turn the heat down anytime soon. \nThe regulator expects all wealth management firms to have a deep understanding of their market abuse risk and build control frameworks that are both proportionate and effective. However\, recent market abuse reviews by Ocorian’s Regulatory & Compliance  practice indicate that they are struggling to properly assess\, understand\, and articulate the specific market abuse risks inherent in their business. \nIn this live\, two-hour interactive\, online training course  Ocorian consultants reveal how wealth firms can effectively meet their obligations to detect and prevent market abuse\, from setting adequate surveillance frameworks to ensuring they have appropriate governance arrangements in place. \nBy attending this two-hour refresher session\, you will be able to: \n\nGrasp what the FCA expects from you to prevent market abuse in 2025\nUnderstand where wealth firms fall short of FCA expectations\nRecognise and address common market abuse risk areas in your firm\nImprove your monitoring ongoing compliance risk\n\nAs with all our PIMFA live online learning sessions\, we provide ‘surgery’ time at the end of this session with the trainer to support you applying what you’ve learnt immediately back into your firm. \n*You may bring along a colleague FREE to this course\, please book 2 places and use code 9qwytrsu at checkout for 50% off.
URL:https://www.pimfa.co.uk/event/pimfa-live-learning-market-abuse-2025-refresher-for-wealth-managers-2025/
CATEGORIES:Learning,Live Learning
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LOCATION:https://www.pimfa.co.uk/event/pimfa-live-learning-market-abuse-2025-refresher-for-wealth-managers-2025/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251014T093000
DTEND;TZID=Europe/London:20251014T113000
DTSTAMP:20260423T205957
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:PIMFA member firms take note. \nIn 2024\, the FCA identified and intervened against around 20\,000 non-compliant financial promotions from authorised firms and has recently deployed new technology to shut down or block 1\,600 websites promoting financial services without permission taking action against influencers (“finfluencers”) for illegal promotions. \nIn the Consumer Duty era\, the FCA expects your firm to go beyond ensuring that all your promotions are ‘clear\, fair and not misleading’ and actively challenging your firm to achieve good outcomes for all customers\, especially the vulnerable. But what does that mean in practice? \nIn this online training session\, you will examine good and bad examples of recent promotional campaigns and assess potential non-compliance with your current and future campaigns. By improving your grasp of good practice\, you will be better prepared to protect your firm\, brand reputation\, and competitive advantage and respond rapidly to unexpected\, consequential events. \nOver two hours\, Ocorian’s Abi Reilly will help you: \n\nAssess the potential risks of your marketing and financial promotions and strengthen your approach against the latest FCA guidance.\nMitigate the threat of non-compliance with current and future changes in financial promotion regulations using a proven process\nEnsure your approach to social media and customer communications doesn’t attract the wrong kind of attention.\nEnhance the review and approval process for financial promotions in line with proposed new anti-greenwashing rules.\nUpdate your social media and influencer marketing governance\, policies\, and contracts with ‘finfluencers’ and agencies to stop consumer harm.\n\nWho should attend \n\nCompliance and legal\nMarketing\nProduct Development\nSenior managers responsible for the marketing activities of the firm\n\n*You may bring along a colleague FREE to this course\, please book 2 places and use code 8prbx3da at checkout for 50% off.
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
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LOCATION:https://www.pimfa.co.uk/event/pimfa-live-online-learning-getting-financial-promotions-right-in-a-post-consumer-duty-era/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250210T093000
DTEND;TZID=Europe/London:20250210T123000
DTSTAMP:20260423T205957
CREATED:20241213T130137Z
LAST-MODIFIED:20251120T162331Z
UID:319585-1739179800-1739190600@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Training: Operational Resilience Self-Assessment: Writing and preparing your document to meet the FCA’s March 2025 deadline
DESCRIPTION:Are you ready to demonstrate operational resilience by 31 March 2025? \nBe under no illusion your firm’s Operational Resilience Self-Assessment document will be the first item the FCA requests to see when assessing your firm’s ability to deliver important business services throughout operational disruptions such as cyber-attacks\, technology failures or third-party disruptions. \nAnd with the FCA’s deadline of 31st March 2025 fast approaching for boards of enhanced SMCR firms to review and approve their written self-assessment\, now is the time to ensure this essential document demonstrates to the regulator your firm’s ability to prevent\, adapt to\, respond to\, and recover from disruptions. \nHelping you get your report right first time \nIn this live\, tutor-led online course\, Richard Preece\, Chair of PIMFA’s Operational Working Group\, assists you to avoid the pitfalls firms make when drafting your self-assessment\, ensuring that you can: \n1. Clearly articulate the FCA expectations for your firm’s operational resilience self-assessments\, including the required elements (important business services\, impact tolerances\, mapping\, scenario testing\, lessons learned\, vulnerabilities\, and communication strategy). You will receive guidance on the size and level of detail of the Self-Assessment document that’s proportionate to your firm’s activities. \n2. Construct a comprehensive self-assessment document that effectively demonstrates your firm’s full compliance with the regulation. This includes understanding the appropriate format\, size\, and content of the document. Time on the course has been allocated to provide guidance on addressing challenges like proportionality\, consumer harm mitigation\, and justification of methodologies. \n3. Identify and effectively manage key challenges associated with operational resilience\, particularly those relating to outsourcing (both intra-group and third-party)\, and 4th parties. Through case studies and examples\, your trainer will offer practical solutions and best practices to mitigate third-party risks. \n4. Implement a process for regularly reviewing and updating the self-assessment document to reflect changes in the business\, market conditions\, and lessons learned. Your trainer will emphasise the nature of the self-assessment and strategies for ongoing maintenance and governance. \n5. Follow a proven plan to enhance the sophistication of the self-assessment process over time\, improving the maturity of your firm’s operational resilience practices. The course will assist you in making progressive improvements in mapping\, scenario testing\, and vulnerability remediation\, particularly when there is a significant change to the business. \nWho should attend this course? \n• Board members who have questions or doubts about their firm’s Self-Assessment seek assurances that ‘nothing has been missed’ before approval is given. \n• Senior Managers\, typically the SMF24\, who\, in updating the firm’s self-assessment\, seeks to articulate how the firm plans to address the vulnerabilities to remain within the set impact tolerances in line with FCA expectations. \n• Heads of Operational Risk and Compliance looking to benchmark with their peers how their firm evidences the effects of disruptions and ensure financial stability. \nBring a colleague along for free!  \nUse voucher code XCEMPQ5U at checkout for 50% 2 tickets!
URL:https://www.pimfa.co.uk/event/pimfa-live-online-training-operational-resilience-self-assessment-writing-and-preparing-your-document-to-meet-the-fcas-march-2025-deadline/
CATEGORIES:Learning,Live Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250129T100000
DTEND;TZID=Europe/London:20250129T120000
DTSTAMP:20260423T205957
CREATED:20241107T101257Z
LAST-MODIFIED:20260112T171440Z
UID:317985-1738144800-1738152000@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Non-Financial Misconduct: Guidance and Toolkit To Avoid Non Compliance
DESCRIPTION:Whether certain behaviours of individuals working in financial services\, particularly outside of the workplace\, fall under the FCA’s supervision’s remit is much debated; what’s not is the regulator’s belief that ‘non-financial misconduct can amount to a breach of our [FCA] conduct rules’. \nIn this practical\, scenario-based\, in-person training session\, delivered by regulatory and employment lawyers who have dealt with non-financial misconduct issues firsthand\, you’ll learn how to navigate the challenges of investigating NFM in your firm\, understand when NFM might breach the conduct rules and assess the impact of NFM on the fit and proper assessment. \nImmediately after the training\, you will receive a zip folder of key resources and checklists referred to in the training session which you can use to help you enhance your policies\, processes\, and practices around NFM. \nAttending this session and leveraging the resources will give you the knowledge and confidence to: \n1. Ready your firm for anticipated new rules on NFM.\n2. Align your firm’s whistle-blowing policy\, reporting process and procedure to the regulators expectations\n3. Recognise and escalate NFM incidents appropriately\n4. Manage NFM incidents\n5. Ensure regular communications between the HR and compliance teams to deal with and manage NFM incidents\n6. Assess what may amount to ‘serious’ misconduct\n7. Accurately record NFM incidents\n8. Understand when NFM should be reported to the FCA \nWhat you’ll cover in the session: \n– Overview of Non-Financial Misconduct (NFM)\n– FCA’s Stance on Non-Financial Misconduct\n– Regulatory Framework and Guidelines\n– Compliance Obligations for PIMFA member firms\n– Key Responsibilities of Senior Managers\n– Reporting and Documentation Requirements\n– Implementing Effective Policies and Procedures\n– Approaches to creating a Positive Organisational Culture\n– Establishing Clear Conduct Standards\n– Training and Awareness Programs\n– Monitoring/measuring culture\n– Whistleblowing\, complaints handling and investigations\n– Discipline for NFM\n– Regulatory references\n– Reporting to the FCA\n– Interactive Case Studies of Non-Financial Misconduct in Financial Services\n– Lessons Learned from Past Incidents\n– Best Practices for Mitigating Non-Financial Misconduct\n– Successful Strategies from Leading Firms\n– Continuous Improvement and Learning\n– Monitoring and assessments\n– Q&A Session \nWho Should Attend: \n• Compliance and Conduct leaders seeking guidance on how to:\n– Deal with allegations of non-financial misconduct\n– Recognise whether NFM is an isolated incidence or an indicator of a wider culture issue \n• HR leaders who want to ready their firm’s response for new FCA rules and guidance\, including the impact NFM could have on remuneration and how NFM should be dealt with in a regulatory reference. \n• In-house counsel who seek assurance of when and how to respond to allegations of non-financial misconduct. \nThis training course will take place IN PERSON at the DAC Beachcroft London Office located at 25 Walbrook\, London EC4N 8AF \n  \nBring a colleague along for free! \nUse VOUCHER CODE  BG3N8AKH at checkout to claim this buy-one-get-one-free offer! \n  \nThis voucher can only be used when purchasing 2 full price tickets
URL:https://www.pimfa.co.uk/event/pimfa-learning-non-financial-misconduct-guidance-and-toolkit-to-avoid-non-compliance/
CATEGORIES:Learning,Live Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250128T140000
DTEND;TZID=Europe/London:20250128T170000
DTSTAMP:20260423T205957
CREATED:20241127T083822Z
LAST-MODIFIED:20251113T155816Z
UID:318906-1738072800-1738083600@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Customer Vulnerability: Applying and Implementing PIMFA’s guidance in your firm
DESCRIPTION:Customer vulnerability is a complex area that PIMFA member firms must get right. Ultimately\, it is about identifying customers with vulnerable characteristics and ensuring they consistently experience good outcomes. That’s not as easy as it sounds\, especially when The FCA has made clear that it will apply a vulnerability lens to its ongoing supervisory and enforcement work. \nThis live tutor-led training course delivered by vulnerability experts at the Money Advice Trust\, based on PIMFA’s recently published 160-page guide\, “Understanding Customer Vulnerability”\, supports wealth managers and financial advisors who want to improve how they can: \n\nEmbed a focus on vulnerability into their strategy and culture.\nEnsure they are asking the right questions about the data\, management information\, and data they need to deliver the right outcomes and experiences for customer vulnerability.\nAccount for customer vulnerability in product and service design.\nActively monitor customer behaviour and consider potential vulnerability in customer interactions.\nSupport and enable customers with characteristics of vulnerability to disclose their needs.\nCapturing and retrieving information about vulnerability during subsequent customer interactions\n\nBy enrolling on this course\, you’ll be able to answer with confidence the following questions: \n\nHow do you identify customer vulnerability\, and what criteria do you use for this assessment?\nWhat specific support mechanisms are in place to assist customer vulnerability throughout their interaction with your firm?\nHow do you tailor and test communication strategies to ensure that customers with vulnerable characteristics understand the products and services offered?\nAre your services and communications accessible to all customers\, including those with disabilities or other barriers?\nHow do you monitor the effectiveness of your support for customer vulnerability\, and what metrics do you use?\nWhat procedures do you have in place for escalating the needs of customers with characteristics of vulnerability to senior management or specialised teams?\nHow do you ensure that products and services offered to customers with vulnerable characteristics appropriately meet their needs?\n\nWho Should Attend: \n\nSMF holders who require the knowledge and understanding to promote a culture of awareness and responsiveness to vulnerable clients in line with current and future FCA expectations.\nSales & Marketing Directors tasked with ensuring that the firm’s financial promotions and customer communications don’t exploit vulnerable consumers.\nCompliance and Risk leaders that want a proven framework to better recognise\, assess\, and manage potential risks related to customers with characteristics of vulnerability .\nRegulatory risk professionals and in-house counsel who\, having identified evidence of consumer harm or risk of harm to customers in vulnerable circumstances\, need to develop a remediation strategy to avoid assertive supervisory and enforcement action.\n Internal auditors who wanting to ‘up their firm’s game’ seek to ensure effective monitoring and reporting mechanisms are in place to track how the firm identifies and serves customer vulnerability\, evaluating both the processes and the outcomes.\n\nOffer: Bring your colleague along for free – please enter code 6JZWEFP5 at checkout.
URL:https://www.pimfa.co.uk/event/pimfa-learning-customer-vulnerability-applying-and-implementing-pimfas-guidance-in-your-firm/
CATEGORIES:Learning,Live Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241120T093000
DTEND;TZID=Europe/London:20241120T123000
DTSTAMP:20260423T205957
CREATED:20240717T104252Z
LAST-MODIFIED:20251113T161811Z
UID:312303-1732095000-1732105800@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Learning: Mastering Your Ongoing Compliance with Consumer Duty
DESCRIPTION:The FCA review of Consumer Duty implementation within payment firms published in October 2024 found that just over half were satisfactory\, while nearly half were categorised as needing “significant work” to meet the Duty’s requirements. In yet another reminder\, the FCA expects your firm to identify gaps in your compliance with the Duty and “act immediately\, putting plans in place to address shortcomings.” \nIn this live\, tutor-led online training masterclass\, led by consultancy firm Square 4\, our tutors will help you demonstrate that the FCA’s latest guidance has been considered\, identifying gaps\, shortfalls\, and actions required to evidence that your firm is meeting their ongoing obligations with the Duty. \nBy the end of this masterclass\, you’ll be able to: \n\nAssess and prioritise the tasks your firm’s needs to undertake to ensure alignment with FCA’s ongoing Consumer Duty expectations.\nRectify and remediate the gaps in your MI and data to ensure you meet the regulatory expectations.\nEnhance processes and controls to monitor customer outcomes across your customers\, including those with vulnerability.\nImplement processes to amend and adapt products and communications where risks of potential harm are identified.\nOvercome common challenges\, weaknesses and failings Square 4 has observed in firms’ approach to outcomes monitoring and testing.\nAssure your Consumer Duty champion and senior managers that your firms’ policies\, process and people are in line with industry best practices.\nEnsure that your firm has effective Consumer Duty centric reporting and governance arrangements in place.\nEnsure that your firm is able to effectively identify and proactively remediate and crystallised or potential consumer harm.\n\nIn this masterclass you’ll cover: \n\nAn effective 3LOD model to ensure Consumer Duty compliance\nThe importance of clear roles\, accountabilities and responsibilities\nEffective outcomes monitoring / testing frameworks\nConsumer Duty MI and data requirements\nEffective governance\, reporting and remediation practices\n\nWho should attend: \n\nC-level officers concerned about their firm’s ability to create and maintain the Consumer Duty cultural shift.\nConsumer Duty champions seeking to understand what good ongoing compliance practice looks like and benchmark their firm.\nCompliance leaders who are not content with standing still are looking to undertake a range of activities to address identified poor outcomes as well as improve the testing methodology and processes.\nRegulatory risk professionals and in-house auditors who want a better understanding of what processes\, reporting\, governance and controls should be in place.\n\nPlease use early bird coupon JDJNEGB5 at checkout for 50% off 2 Tickets \nIf 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.
URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-mastering-your-ongoing-compliance-with-consumer-duty/
CATEGORIES:Learning,Live Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241014T093000
DTEND;TZID=Europe/London:20241014T123000
DTSTAMP:20260423T205957
CREATED:20240717T092737Z
LAST-MODIFIED:20251113T162308Z
UID:311346-1728898200-1728909000@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Training: Mastering Fair Value Assessments: Aligning with Consumer Duty Standards
DESCRIPTION:One of the most challenging outcomes of the Consumer Duty for firms to meet is that of fair price and value. In the opinion of the FCA\, “many of the fair value assessments we [FCA] have seen do not rely on solid data and other credible evidence to justify the products’ value to retail customers. [Sheldon Mills quote Feb 2024] \nThe regulator’s information request to 20 of the largest firms asking about their delivery of ongoing advice services highlights the need for PIMFA members to test whether their value framework are fit for purpose and challenge whether they are capturing the appropriate data and metrics to evidence their products and services are delivering fair value. \nIn this live\, tutor led online training course experts Alpha\, show you how you can stay ahead of FCA expectations\, identifying and addressing the regulators most recent concerns in assessing fair value and ongoing advice fees\, so that you can take swift action to address any shortcomings in your approach. \nBy the end of this masterclass\, you’ll be able to: \n\nRefine and improve your ongoing advice annual review process in light of recent FCA concerns.\nConfidently anticipate and respond\, with evidence\, to FCA questions and queries on your approach value assessments.\nPinpoint areas of immediate improvement to fair value assessment\, ensuring it is aligned with industry good practice.\nMap\, with greater clarity\, the critical data metrics required to identify consumer harm across different customer groups\, (particularly vulnerable or potentially vulnerable customers)\nCritically assess if your firm’s ongoing services are fairly priced\n\nWho should attend? \n• Compliance heads and leaders seeking to avoid foreseeable harm by enhancing and refining their fair value framework.\n• Internal auditors keen to address shortcomings in their approach who now seek a more robust\, data-driven approach for assessing fair value.\n• Risk leaders who want to ensure that fair value outliers can be effectively identified and rectified with appropriate accountability mechanisms.\n• Consumer Duty project leads who recognise the need for improvements\, want to know how leading firms use data and MI to monitor fair value on an ongoing basis.\n• Consumer Duty champions seeking to ensure their fair value analysis provide the board with a sufficient understanding of outcomes received across different customer groups. \n  \nBring you colleague along for free! \nPlease use coupon 7SX5YB2X at checkout for 50% off 2 Tickets \n  \nIf you experience any issues please email learning@pimfa.co.uk
URL:https://www.pimfa.co.uk/event/pimfa-live-online-training-mastering-fair-value-assessments-aligning-with-consumer-duty-standards/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/02/jan-huber-4OhFZSAT3sw-unsplash-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240916T093000
DTEND;TZID=Europe/London:20240916T123000
DTSTAMP:20260423T205957
CREATED:20240208T101129Z
LAST-MODIFIED:20251120T161018Z
UID:304187-1726479000-1726489800@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Learning: Financial crime Business-wide risk assessment- the key to getting it right
DESCRIPTION:The Business Wide Risk Assessment (BWRA) is a key pillar in understanding the risks posed to your business and monitoring the effectiveness of you control framework. Yet so many firms are still getting this critical\, living document wrong and thus falling short of regulatory expectations. \nThe Business Wide Risk Assessment masterclass\, delivered by Avyse\, is your opportunity to step back and consider the financial crime risks your firm is\, or could be\, exposed to and consider how those risks could be mitigated.\nUnder the guidance of experienced consultants\, you will be guided through a tried and tested approach that will not only improve the quality of your firm-wide risk assessments\, but ensure it can be replicated to be the backbone of your financial crime controls in 2024. \nThrough this masterclass\, you’ll learn how to: \n• Complete a comprehensive\, yet proportionate assessment;\n• Document the methodology in a clear\, reliable way; and\n• Use the outputs of the risk assessment to inform and enhance the financial crime framework. \nMasterclass topics covered include: \n• Adopting and embedding the latest FCA requirements and industry guidance in your BWRA.\n• Providing an in depth look at the business wide risk assessment process.\n• Grasping why it’s crucial to get it right\, provide tips and tricks we’ve learned by assisting a myriad of firms in developing their BWRA tools and methodologies.\n• Sharing best practice from peer firms – specifically\, how to keep the BWRA proportionate yet comprehensive and scalable.\n• Recognise good and poor practice – common themes Avyse has identified through their Skilled Person and broader advisory work \nWorking through an example risk assessment\, you will learn how to:   \n• Avoid the pitfalls most firms make when carrying out and documenting their BWRA.\n• Understand and apply different methodologies for carrying out a financial crime risk assessment. This will include:\no Identifying and assessing risks; and\no Identifying and assessing the effectiveness of key controls.\n• Replace a tick box exercise approach with a living document to identify ‘real risk’ and that stands up to internal and external scrutiny.\n• Determine how to use the outputs of the risk assessment to support internal decision-making processes\, including where to enhance controls and allocate additional resources.\n• Review\, update and improve your BWRA by applying the key principles discussed.\n• Conduct with confidence a risk assessment that follows industry good practice\n• Explain with confidence to key stakeholders the reasoning and rationale of your BWRA \nWho should enrol: \n• Heads of Financial Crime / MLROs / Deputy MLROs\n• Heads of Compliance and Compliance Leads\n• Governance specialists\n• Firms currently going through specific registration / authorisation applications.
URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-financial-crime-business-wide-risk-assessment-the-key-to-getting-it-right/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/09/lake-404797_1280.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240521T093000
DTEND;TZID=Europe/London:20240521T123000
DTSTAMP:20260423T205957
CREATED:20230928T083021Z
LAST-MODIFIED:20251120T162353Z
UID:293993-1716283800-1716294600@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Training: Reputation\, Resilience and Risk: Are You Getting It Right?
DESCRIPTION:Will your firm still be trusted by your clients after a major disruption or even crisis has occurred? \nToday\, Wealth Managers face a confluence of interrelated environmental\, economic\, and geopolitical crises\, magnified over TiKTok\, Twitter and Instagram. A firm’s value\, brand and credibility can be compromised in a matter of minutes. Government\, regulators\, investors\, clients\, and other stakeholders are increasingly considering risk and resilience from a more holistic perspective. For example\, the proposed The Companies (Strategic Report and Directors’ Report) (Amendment) (the Regulations) 2023 (in draft for approval by Parliament)\, will oblige in-scope firms to provide a Resilience Statement and a separate Material Fraud statement. \nWhy you should attend  \nIn this interactive session\, you will examine the lessons learnt from recent reputational incidents to ensure your firm is prepared to tackle existing and potential threats. In addition\, you’ll take away a toolkit of battle-tested frameworks\, proven strategies\, and key resources to better measure\, manage\, and monitor risk in your firm. \n‘Bring your colleague along for FREE to this session’ \nBy the end of the session\, you’ll: \n• Benchmark your firm’s approach to resilience against your peers \n• Assess your firm’s potential risks\, such as operations threats\, reputation damage\, cyber-attacks\, and unexpected global events \n• Test and strengthen your firm’s approach to managing both internal and external risks to align with FCA expectations \n• Build and integrate processes that anticipates\, prioritises\, and mitigates threats \n• Develop an action and implementation plan to better protect your firm’s reputation \nSpecific areas you will cover in this session include: \nStrategic Analysis. A “what is going on here?” analysis of tectonic forces that are creating increasingly volatile\, uncertain\, complex\, and ambiguous (VUCA) business environment. How this can lead to challenges to firms’ reputation and trustworthiness\, beyond operational disruptions envisaged by Operational Resilience regulations. \nIntegrated Approach. A set of guiding integrated principles and good practices that build upon and join the dots between existing regulatory obligations and can be developed and implemented by firms to enable and protect firms’ achievement of their purpose\, value generation and strategy. \nCulture. Consideration of culture\, individual and collective knowledge\, skills\, attributes\, and behaviours good practice. How these can build and maintain trust even when challenged\, but also can enable thinking fast and right in VUCA environments. \nWho should attend? \n• CEO and board members who seek to develop a strategic approach to managing non-financial risk\, building and maintaining business resilience\, not just operational resilience compliance\, over the short\, medium and long-term \n• Executive and senior leaders (COO\, Financial\, Risk\, Strategy\, Compliance\, Technology\, Security\, HR\, etc) who wish to breakdown silos to achieve shared understanding of managing risk and resilience. \nThis open session is aimed to provide a safe environment for peers to allow a diagnosis of the challenge and the key questions for boards and executives to ask themselves and their firms’. A more tailored closed session(s) can be provided for individual PIMFA members to workshop and scenario test specific challenges and to develop strategy accordingly.” \n  \nBring a colleague along for free! \nPlease use Coupon BOGOF-RES2024 at checkout for 50% OFF two tickets
URL:https://www.pimfa.co.uk/event/pimfa-live-online-training-reputation-risk-masterclass-series/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/06/pexels-kammeran-gonzalezkeola-7925914-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240516T093000
DTEND;TZID=Europe/London:20240516T123000
DTSTAMP:20260423T205957
CREATED:20240308T111231Z
LAST-MODIFIED:20251113T161634Z
UID:307760-1715851800-1715862600@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Learning: Masterclass: How to Prepare\, Write and Review Your First Consumer Duty Board Report
DESCRIPTION:The FCA expects your first Consumer Duty Board report to be ‘signed\, sealed\, and delivered’ in less than five months. At their peril\, firms underestimate the time\, process\, and planning required to produce a Board-approved report by 31 July 2024. \nThe stakes are high\, and although there is a temptation to populate a template\, your first Consumer Duty Board Report is a critical document that must be personalised to suit your firm. \nThe FCA has put firms on notice\, reminding them that they will “need to be able to provide it [their Board Reports]\, and the management information that sits behind it\, on request” – the key here being the evidence that sits behind it. \nAs time is of the essence\, PIMFA\, in partnership with consultancy firm Square 4\, has designed this three-hour masterclass to help you compile your first Consumer Duty annual assessment report in line with FCA expectations. \nFormat \nPart one of this online masterclass takes you step by step through how to best prepare\, structure\, format and populate your report. In part two\, you will\, with the support of regulatory experts\, drill down into the 10 critical elements of your Board report that Square 4 has identified will attract greater FCA scrutiny. \nContent \nThis live and interactive masterclass will address the ten critical elements of the Board report that firms must get right: \n1. The Executive Summary\n2. Customer outcome monitoring\n3. Root cause analysis\n4. Actions\n5. 3LOD assurance\n6. Culture and purpose\n7. FCA engagement\n8. Consumer Duty Champion\n9. Business strategy\n10. Board approval \nKey questions this masterclass will answer includes\, how your firm can: \n1. What does a detailed and well evidenced Report Board Report look like?\n2. Determine what resources you need to put the Board Report together\n3. Reveal and address the gaps in your outcomes monitoring framework and Reporting\n4. Obtain an appropriate range of relevant qualitative and quantitative metrics\n5. Ensure that the report is effectively owned doesn’t get stuck in the second line\n6. Retain a sense of proportionality\, whilst retaining the quality and completeness the FCA expects\n7. Evidence that your firm’s culture and purpose align with the Duty\n8. Identify and document poor outcomes\, detailing the remedial action(s) taken\n9. Grasp what good practice looks like when it comes to documenting your approach to vulnerable customers\n10. Demonstrate that there has been robust engagement\, scrutiny and challenge from Senior Management\, NEDS and the Consumer Duty Board champion\n11. Construct a plan to improve outcomes and evolve compliance with the Duty\n12. Assess how future business strategy is consistent with the Duty \nBy attending this masterclass\, you will be able to: \n1. Follow a clear plan of action to produce a Board Report that aligns to the FCA’s guidance\n2. Compare your approach to Board Reporting with industry peers and regulatory expectations\n3. Reflect\, in your report\, the perspectives and priorities of the Board/governing body\n4. Develop a clear approach to writing a Report that is purposely\, focused and more balanced\n5. Employ proven design principles\, in line with industry good practice\n6. Avoid the trap of presenting too much data and too little information\n7. Making the mistake of Reporting too much on what has happened\n8. Reflect in your content\, the areas the FCA will focus and scrutinise\n9. Use the time to complete a robust ‘dry run’ to identify any gaps and issues\n10. Create a plan of action up to July\, to allow for any necessary reviews and governance steps \nWho should attend this masterclass? \nConsumer Duty Champions/ Non-Executive Director (NED) who need to know that the Board report reflects the concerns of the Board and contains the MI\, evidence and supporting commentary for a robust discussion and debate to occur before the 31 July 2024. \nBoard members of firms who have already created their annual Board report or are advanced in their preparations and now seek assurance that the work undertaken to date is complete and aligned with regulatory expectations and industry good practice. \nSenior executives concerned that their plans and preparations are falling behind schedule which now need a reboot with a clear set of roles and responsibilities and a plan of action to produce the report by 31 July 2024.
URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-masterclass-how-to-prepare-write-and-review-your-first-consumer-duty-board-report/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/02/aaker-gFmBquOaFDE-unsplash-1-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240227T093000
DTEND;TZID=Europe/London:20240227T123000
DTSTAMP:20260423T205957
CREATED:20230928T095442Z
LAST-MODIFIED:20251113T161938Z
UID:296183-1709026200-1709037000@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Learning: Product Governance: What Does Good Look Like Under Consumer Duty?
DESCRIPTION:The FCA’s Consumer Duty has added a further layer of complexity and risk to PIMFA member firms seeking to ensure that their products and services are centred around clients’ identified needs and benefits. Now\, firms have to meet the requirements laid out in PROD and MiFID II\, as well as an increasingly stringent supervisory approach to product governance under the Consumer Duty. \n‘Bring your colleague along for FREE to this session’ \nIn this live\, tutor-led online session\, compliance and regulatory expert Daiman Baker unpacks how PIMFA member firms can “act to improve product governance and deliver good outcomes for retail customers” by: \n• Identifying and remediating shortfalls in their approach to product governance in the context of the Consumer Duty \n• Establishing a robust ongoing monitoring and periodic product review \n• Embedding product governance controls across the entire business \n• Improving their approach to product risk identification and testing \nBy the end of the session\, you will be able to: \n• Provide added confidence to the business that your firm has in place effective risk assessment and mitigation strategies in the product lifecycle [that complies with the enhanced product governance rules] \n• Demonstrate to the FCA that your firm has a robust approach product approval process. \n• Assure the Consumer Duty champion and Senior Managers that your firm continues to deliver fair value and outcomes for clients – including those with characteristics of vulnerability. \n• Benchmark against your peers how effective your firm is in identifying consumer harms. \nApproach to learning \nThrough real-world case studies and interactive activities\, learners will enhance their ability to maintain robust product governance frameworks that prioritise client interests and compliance. \nWho should attend \n• Senior managers and Consumer Duty champions who want to ensure that their firm is considering the needs of their clients at every stage of the product or service lifecycle \n• Internal Audit focused on assuring senior managers\, the Consumer Duty champion and board members that the firm is meeting its product governance obligations \n• Compliance and Risk Officers who seek to manage better the risks associated with product governance \n• Product Managers who want to improve existing product governance processes \n• Participants in a Product Governance Committee (Investment Professionals\, Distribution\, Marketing\, Operations\, Finance\, Legal or Tax) \nBring a colleague along for free! \nPlease use Coupon  below at checkout for 50% OFF two tickets \nBOGOF-PRODGOV2024
URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-product-governance-what-does-good-look-like-under-consumer-duty/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/02/ken-cheung-KonWFWUaAuk-unsplash-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240206
DTEND;VALUE=DATE:20240207
DTSTAMP:20260423T205957
CREATED:20231025T083851Z
LAST-MODIFIED:20251113T154440Z
UID:297812-1707177600-1707263999@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Authentic Leadership: How to thrive as a female leader in wealth and finance Feb 2024
DESCRIPTION:Register your interest now\n  \nAccording to the Financial Conduct Authority\, ‘senior jobs are still mostly for the boys’. And\, whilst more regulated financial services firms are treating gender diversity as a business priority\, the evidence on a sector level would suggest women still remain under-represented at senior management and leadership levels. \nAs a leadership development program for women in finance and wealth\, we directly address the challenges women executives often face\, helping them to develop the confidence\, connections and actions needed to achieve their potential. \nThis unique coaching programme delivered virtually by executive coach\, Caroline Holt\, is endorsed by The Institute of Leadership & Management and CPD accredited by CISI. \nThe PIMFA Authentic Leadership programme is a six-month programme divided into six training modules\, with a new module released every four weeks. \nIt is also an arena for sharing experiences\, practising the tools – as well as a place to get inspiration\, support and the motivation to help you achieve your goals. \n  \n  \nCoaching Call 1: Tuesday 6th February from 11.00 to 13.00 \nCoaching Call 2: Tuesday 5th March from 11.00 to 13.00 \nCoaching Call 3: Tuesday 16th April from 11.00 to 13.00 \nCoaching Call 4: Tuesday 14th May from 11.00 to 13.00 \nCoaching Call 5: Wednesday 12th June from 11.00 to 13.00 \nCoaching call 6: Wednesday 10th July from 11.00 to 13.00 \n  \n 
URL:https://www.pimfa.co.uk/event/authentic-leadership-how-to-thrive-as-a-female-leader-in-wealth-and-finance-2024/
LOCATION:See description for details
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/08/pexels-pixabay-461593-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20231102
DTEND;VALUE=DATE:20231103
DTSTAMP:20260423T205957
CREATED:20230502T091415Z
LAST-MODIFIED:20251119T163809Z
UID:277353-1698883200-1698969599@www.pimfa.co.uk
SUMMARY:Reinforcing Customer Centricity: How Your Firm Can By July 2023\, Meet The Exacting Standards Customer Support And Consumer Understanding Under Consumer Duty
DESCRIPTION:It’s too easy for PIMFA Member Firms to assume that their current suitability checks and approaches to assessing a client’s investment preferences will stand up to regulatory scrutiny through the lens of Consumer Duty.\nIn a matter of months\, the FCA requires you to be able to evidence that your firm is putting themselves ‘in the shoes of your customers’\, acting in good faith\, avoiding causing foreseeable harm and enabling customers to achieve their financial objectives. \nConsumer Duty requires role relevant training\, rather than a tick box approach to learning. To that end\, this one day in house training course\, personalised to your specific needs\, takes your advisors through step by step through a framework they can adopt to improve their approach to client suitability\, the critical component in your firm’s ability to meet the Duty’s two outcomes on customer support and consumer understanding. \nBut even a proven framework won’t help your firm meet the regulators standards\, if the new skills don’t stick. That’s why we give your advisors the confidence\, tools and support they need to talk with their clients about their values\, motivations and ambitions\, moving beyond the current approach to suitability. \nWhat We Cover\nIn this live\, bespoke interactive\, tutor led one day training course\, we take you through how you can: \n\nUpdate your current approach to suitability to align with the new Consumer Duty before the 31st July to help to meet two of the outcomes of the regulations – customer support and consumer understanding\nDeploy ‘ready to use’ approaches your advisors and wealth managers can immediately use to evidence a clearer and higher standard of care to the regulator\, while meeting client needs and expectations.\nAchieve genuine competitive advantage in client experience giving you the tools and support you need to build the capabilities of your client facing teams.\nLeverage Consumer Duty as a catalyst for commercial growth based on growing a values-based purpose driven wealth management business.\nEnhance your firms Reputation as a market leader\, allowing you to become the best in class for client centric approaches to Consumer Duty.\nUpskill your workforce to Retain the best talent in the field allowing them to form greater bonds with clients.\n\nPost Course Coaching\nA highlight of this training course is the inclusion of follow up coaching to support the implementation of the key learnings of this training course within your firm. Alongside your coach\, you will discuss your action plan for executing your newly learnt approaches\, putting in organisation wide measures to help overcome expected or unexpected execution obstacles and creating a long term strategy that will keep you ahead of any further regulatory changes. \nWho should attend?\nThis course is designed for firms to put in place the essential ingredients support commercial growth and to meeting two of the Consumer Duty outcomes on customer support and consumer understanding and their client facing professional advisors who will lead in delivering a customer centric service. This training is invaluable to: \n\nHeads of Sales who\, looking to build and maintain a strong sales pipeline\, want their team to develop a deeper level of engagement\, based on their values with both prospects and existing clients.\nTraining & Competency Supervisors who want to deliver role relevant consumer duty training for their financial advisors\, wealth managers or financial planners.\nCompliance Heads and Senior Management who need to grasp the key role advisors play in achieving Consumer Duty compliance.\n\nTrainers\nJohn Pepin\, CEO\, Philanthropy Impact \nJohn is Chief Executive of Philanthropy Impact. Its purpose is to increase the flow of capital for good by enabling to HNW and UHNW private clients and their families to match their purpose driven wealth strategies with their values capturing their ESG/impact investment and philanthropic preferences.  It achieves this by working with professional private client advisors (wealth management\, private banking\, independent financial advice\, tax and legal sectors) to ultra-high net worth and high net worth individuals to grow and enhance the quality of the support they give to their clients.  The network also includes individual philanthropists and social investors\, trusts and foundations\, charities and social enterprises.  The organisation acts as a knowledge hub and centre of excellence realising its vision by means of thought leadership and sharing intelligence\, events\, CPD Certified and CISI Endorsed training\, bespoke networking opportunities\, government liaison\, publications including a magazine\, and resources for advisors and other stakeholders. \nExperienced senior level practioners from the wealth management industry will support John deliver this training course. \nRegister Your Interest\nSimply fill in the form below and click Submit to register your interest in this course. \nPlease select a valid form
URL:https://www.pimfa.co.uk/event/reinforcing-customer-centricity-how-your-firm-can-by-july-2023-meet-the-exacting-standards-customer-support-and-consumer-understanding-consumer-duty/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2025/06/800x800_hotairballoon_colour.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20230608T133000
DTEND;TZID=Europe/London:20230608T153000
DTSTAMP:20260423T205957
CREATED:20230331T083615Z
LAST-MODIFIED:20251113T162052Z
UID:273748-1686231000-1686238200@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Learning: T&C under Consumer Duty: What You Need to Know Session 2
DESCRIPTION:To ensure your people are prepared to meet the ‘biggest regulatory overhaul in a decade’ PIMFA member firms would be advised to dust off and stress test their approach to Training and Competency (T&C) before the new Consumer Duty comes into force in July 2023. \nWhy is T&C so critical under the new Consumer Duty? \nTaking centre stage of your approach to Consumer Duty is your firm’s ability to practice and demonstrate to the FCA that all your people are aligned and focused on delivering and evidencing good customer outcomes against new and more stringent regulatory expectations. Your firm’s approach to T&C plays a critical role in showing\, not just telling the regulator that your advisor population is acting in good faith\, proactively avoiding foreseeable harm\, and supporting customers to pursue their financial objectives. \nIn this live\, interactive\, and practical training session\, delivered by a senior T&C practitioner we take HR\, L&D\, Operations\, Compliance\, and T&C professionals’ who are looking to: \n\nGet to grips with what good T&C looks like under the new Consumer Duty\nAdapt their approach to T&C against the expectations of the new Consumer Duty\nIdentify and close any T&C gaps or blind spots that might hamper their firm from achieving the outcomes that the FCA will be looking for under the new Consumer Duty\nAssure the board and senior executives that your firm’s approach to T&C meets the cross-cutting rules and the four outcomes before the July 2023 deadline\nFor additional guidance on how to conduct supervised T&C assessments under the new Consumer Duty\n\nBy the end of the session\, you’ll be able to: \n\nUpdate and reposition your approach to T&C appropriate to the new Consumer Duty\nAnalyse the changes that are needed to support a consumer outcome approach rather than one that is compliance driven\nConfidently answer challenges on how your T&C framework supports clients pursue their financial objectives\nDemonstrate to stakeholders including the board\, internal audit\, and the regulator how your approach to people competence and capability management achieves ‘good customer outcomes’.\n\n 
URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-tc-under-consumer-duty-what-you-need-to-know-2/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/02/pexels-victor-freitas-847485-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20230530T093000
DTEND;TZID=Europe/London:20230530T113000
DTSTAMP:20260423T205957
CREATED:20230328T180244Z
LAST-MODIFIED:20251120T135751Z
UID:268128-1685439000-1685446200@www.pimfa.co.uk
SUMMARY:PIMFA Learning: PwC Consumer Duty Series- Session 3: MI\, reporting and governance
DESCRIPTION:With fundamental regulatory change like the introduction of the Consumer Duty\, the problem for firms both large and small often isn’t with planning – many strategies are well developed – but with execution. The Consumer Duty series tackles the implementation of Consumer Duty head-on to provide PIMFA member firms with a well-structured approach for Project Leads\, Compliance & Risk Heads alongside Senior Managers to confidently meet the July deadline. \nYou will return from each of the three sessions with a set of tools and approaches you can use to: \n\nImprove your ability to organise\, manage\, and prioritise the key requirements of the Duty\nAnticipate and avoid pitfalls that could derail your project plan.\nRespond to FCA’s latest announcements and instructions.\nAddress your firm’s most critical Consumer Duty issues.\nFeedback and answers to your Consumer Duty execution challenges\n\nThis workshop will focus on: \n\nHow firms can develop Consumer Duty MI\, reporting and governance that covers the appropriate products\, services\, touchpoints and customer types for their unique activities.\nHow the Board can demonstrate that making good outcomes for consumers is central to their firm’s culture\, strategy and business objectives.\n\nBy the end of this workshop\, you will: \n\nGet clarity on the different data to be collected across each of the key Consumer Duty outcomes\nIdentify and bridge gaps in your MI\nDevelop actionable and understandable MI\, that meets regulator expectations\nConsumer Duty obligations will require different data to be collected across each of the key Consumer Duty outcomes\nLearn\, from our own research\, how firms intend to use MI to evidence good consumer outcomes\nKnow how to join the data dots up between different areas of your business to form a coherent Board report\n\nFormat and approach \nThis two-hour online session is an interactive learning experience that brings the research and experience of the PwC Wealth Management team together with senior managers who want to strengthen their firms’ approach to Consumer Duty implementation. In this online workshop\, you will be broken into smaller discussion groups to work through exercises\, discuss scenarios and collaborate with your peers on solutions to overcome even your most challenging execution obstacles.
URL:https://www.pimfa.co.uk/event/cdsession3-2/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2022/10/freezydreamin-SV3V-D1G2q4-unsplash-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20230525T133000
DTEND;TZID=Europe/London:20230525T153000
DTSTAMP:20260423T205957
CREATED:20230307T093018Z
LAST-MODIFIED:20251120T133122Z
UID:268082-1685021400-1685028600@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Learning: T&C under Consumer Duty: What You Need to Know
DESCRIPTION:To ensure your people are prepared to meet the ‘biggest regulatory overhaul in a decade’ PIMFA member firms would be advised to dust off and stress test their approach to Training and Competency (T&C) before the new Consumer Duty comes into force in July 2023. \nWhy is T&C so critical under the new Consumer Duty? \nTaking centre stage of your approach to Consumer Duty is your firm’s ability to practice and demonstrate to the FCA that all your people are aligned and focused on delivering and evidencing good customer outcomes against new and more stringent regulatory expectations. Your firm’s approach to T&C plays a critical role in showing\, not just telling the regulator that your advisor population is acting in good faith\, proactively avoiding foreseeable harm\, and supporting customers to pursue their financial objectives. \nIn this live\, interactive\, and practical training session\, delivered by a senior T&C practitioner we take HR\, L&D\, Operations\, Compliance\, and T&C professionals’ who are looking to: \n\nGet to grips with what good T&C looks like under the new Consumer Duty\nAdapt their approach to T&C against the expectations of the new Consumer Duty\nIdentify and close any T&C gaps or blind spots that might hamper their firm from achieving the outcomes that the FCA will be looking for under the new Consumer Duty\nAssure the board and senior executives that your firm’s approach to T&C meets the cross-cutting rules and the four outcomes before the July 2023 deadline\nFor additional guidance on how to conduct supervised T&C assessments under the new Consumer Duty\n\nBy the end of the session\, you’ll be able to: \n\nUpdate and reposition your approach to T&C appropriate to the new Consumer Duty\nAnalyse the changes that are needed to support a consumer outcome approach rather than one that is compliance driven\nConfidently answer challenges on how your T&C framework supports clients pursue their financial objectives\nDemonstrate to stakeholders including the board\, internal audit\, and the regulator how your approach to people competence and capability management achieves ‘good customer outcomes’.\n\n 
URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-tc-under-consumer-duty-what-you-need-to-know/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/02/pexels-victor-freitas-847485-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20230523T093000
DTEND;TZID=Europe/London:20230523T113000
DTSTAMP:20260423T205957
CREATED:20230328T174756Z
LAST-MODIFIED:20251113T154818Z
UID:273411-1684834200-1684841400@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Consumer Duty Series - Session 2: Engaging with Third Parties
DESCRIPTION:With fundamental regulatory change like the introduction of the Consumer Duty\, the problem for firms both large and small often isn’t with planning – many strategies are well developed – but with execution. The Consumer Duty series tackles the implementation of Consumer Duty head-on to provide PIMFA member firms with a well-structured approach for Project Leads\, Compliance & Risk Heads alongside Senior Managers to confidently meet the July deadline. \nYou will return from each of the three sessions with a set of tools and approaches you can use to: \n\n\n\nImprove your ability to organise\, manage\, and prioritise the key requirements of the Duty\nAnticipate and avoid pitfalls that could derail your project plan.\nRespond to FCA’s latest announcements and instructions.\nAddress your firm’s most critical Consumer Duty issues.\nFeedback and answers to your Consumer Duty execution challenges\n\n\n\nSession Two: Engaging with Third Parties \nPIMFA member firms are relying significantly on their third parties to transmit quality information\, particularly relating to the consumer support outcome.  Firms need to give detailed thought to the type\, timing and volume of information they need from their third-party service providers to test consumer outcomes. \nFurthermore\, manufacturers and distributors are required to share information required by each for monitoring outcomes. While augmentation of existing templates may be helpful\, these are unlikely to meet all firms’ requirements. \nThis session (that you can attend in person or online) will focus on: \n\n\n\nEngagement strategies with third-party suppliers to access information to monitor customer outcomes.\nThe additional information you may need to share between manufacturers and distributors\, and what is the most efficient way to achieve this.\n\n\n\nBy the end of this session\, you will be able to: \n\n\n\nKnow what’s an appropriate level of detail you will require from product providers.\nRecognise the pitfalls of relying on PROD and COLL for meeting the Consumer Duty Products and Services and Fair Value outcomes.\nLearn how large and small firms are effectively and efficiently gaining the information they need from their third-party suppliers.\nAddress information flow challenges\, exploring with peers how to optimise information flow between manufacturers and distributors.\n\n\n\nFormat and approach \nYou can choose to attend this two-hour session in person at the PwC London office or online. However you choose to participate\, this session is run as an interactive learning experience that brings the research and experience of the PwC Wealth Management team together with senior managers who want to strengthen their firms’ approach to Consumer Duty implementation. In this online workshop\, you will be broken into smaller discussion groups to work through exercises\, discuss scenarios and collaborate with your peers on solutions to overcome even your most challenging execution obstacles.
URL:https://www.pimfa.co.uk/event/cdsession2/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2022/10/Sea-wave.jpg
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DTSTART;TZID=Europe/London:20230503T093000
DTEND;TZID=Europe/London:20230503T113000
DTSTAMP:20260423T205957
CREATED:20230328T175741Z
LAST-MODIFIED:20251120T133517Z
UID:268119-1683106200-1683113400@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Consumer Duty Series - Session 1: Practical Strategies & Approaches For Testing Consumer Outcomes
DESCRIPTION:With fundamental regulatory change like the introduction of the Consumer Duty\, the problem for firms both large and small often isn’t with planning – many strategies are well developed – but with execution. The Consumer Duty series tackles the implementation of Consumer Duty head-on to provide PIMFA member firms with a well-structured approach for Project Leads\, Compliance & Risk Heads alongside Senior Managers to confidently meet the July deadline. \nYou will return from each of the three sessions with a set of tools and approaches you can use to: \n\n\n\nImprove your ability to organise\, manage\, and prioritise the key requirements of the Duty\nAnticipate and avoid pitfalls that could derail your project plan.\nRespond to FCA’s latest announcements and instructions.\nAddress your firm’s most critical Consumer Duty issues.\nFeedback and answers to your Consumer Duty execution challenges\n\n\n\nSession one: Practical Strategies & Approaches For Testing Consumer Outcomes  \nThe Duty requires firms to help customers achieve good outcomes\, and to report on this annually. Consequently\, firms must be able to measure if they are achieving good outcomes for their customers. \nIn part one of this three-part session series\, The Consumer Duty team at PwC will support you: \n\n\n\nAssess design considerations for testing each of the four outcomes;\nDecide what data will be required for monitoring and testing outcomes;\nDirect what actions may be required to remediate poor outcomes.\n\n\n\nBy the end of this session\, you will be able to: \n\n\n\nEnsure that your definition of what a good outcome against the expectations set out in the Consumer Duty stands up to regulatory scrutiny.\nEvidence that your firm can achieve good outcomes across each client touchpoint and to the standards set out in the cross-cutting rules.\nDevelop a proven approach to review and improve your existing outcome testing arrangements.\nCompare your firm’s approach to outcomes testing with your peers.\nGrasp how your firm can use outcome testing to reveal causality and highlight areas for improvement.\nLearn how to overcome the challenges of demonstrating compliance with the ‘consumer understanding’ outcome.\nInterpret the data you’ve gathered and recorded from your tests to evaluate performance and to inform recommendations.\n\n\n\nFormat and approach \nThis two-hour online session is an interactive learning experience that brings the research and experience of the PwC Wealth Management team together with senior managers who want to strengthen their firms’ approach to Consumer Duty implementation. In this online workshop\, you will be broken into smaller discussion groups to work through exercises\, discuss scenarios and collaborate with your peers on solutions to overcome even your most challenging execution obstacles.
URL:https://www.pimfa.co.uk/event/cdsession1/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2022/10/Sea-wave.jpg
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DTSTART;TZID=Europe/London:20230427T093000
DTEND;TZID=Europe/London:20230427T123000
DTSTAMP:20260423T205957
CREATED:20230216T115733Z
LAST-MODIFIED:20251120T132313Z
UID:266117-1682587800-1682598600@www.pimfa.co.uk
SUMMARY:PIMFA Online Training Course: Meeting Your Clients ESG Needs under Consumer Duty – Principles and Practices Your Advisor Population Need To Know And Adopt
DESCRIPTION:It’s too easy for PIMFA Member Firms to assume that their current suitability checks and approach to assessing a client’s ESG preferences will stand up to regulatory scrutiny through the lens of Consumer Duty. \nIn less than seven months\, the FCA requires you to be able to evidence that your firm is putting themselves ‘in the shoes of your customers’\, acting in good faith\, avoiding causing foreseeable harm and enabling customers to achieve their financial objectives. \nSo how can your firm meet these exacting expectations by 31st July? \nThis CPD Accredited and CISI Endorsed course takes you step by step through a framework your firm can adopt to improve your approach to client suitability\, the critical component in your firm’s ability to meet the Duty’s two outcomes on customer support and consumer understanding. \nIn addition\, a follow-on coaching session with your trainers\, at no extra cost\, ensures your advisor population not only meets their regulatory obligations\, but have a playbook to develop a deeper\, closer relationship with their clients. \nIn this live\, interactive\, tutor lead online training course\, we take you through how you can: \n\n\n\nUpdate your current approach to suitability to align with the new Consumer Duty before the 31st July.\nCascade to your advisor population a proven\, best practice approach to improve how they assess their ESG client preferences.\nDeploy ‘ready to use’ approaches your advisors and wealth managers can immediately use to evidence a clearer and higher standard of care to the regulator\, while meeting client needs and expectations.\nAchieve genuine competitive advantage in client experience giving you the tools and support you need to build the capabilities of your client facing teams.\nLeverage Consumer Duty as a catalyst for commercial growth based on growing a values based purpose driven wealth management business.\n\n\n\nPost course coaching \nA highlight of this training course is the inclusion of one-to-one coaching to support you implement key learnings of this training course within your firm. Alongside your coach\, you will discuss your action plan for executing your newly learnt approaches and how to overcome expected or unexpected execution obstacles. \nWho should attend? \nHeads of Sales who\, looking to build and maintain a strong sales pipeline\, want their team to develop a deeper level of engagement\, based on their values with both prospects and existing clients. \nTraining & Competency Supervisors who want to provide the highest levels of training and competence of their financial advisors\, wealth managers or financial planners. \nCompliance Heads and Senior Management who want: \n\n\n\nAdopt a best-in-class approach to customer verified outcomes adopted and embedded across all their intermediaries.\nTo put in place the essential ingredients support commercial growth.\n\n\n\n  \n  \n If you are a Philantrophy Impact member\, please email learning@pimfa.co.uk to receive your discount code for tickets \n 
URL:https://www.pimfa.co.uk/event/pimfa-online-training-course-meeting-your-clients-esg-needs-under-consumer-duty-principles-and-practices-your-advisor-population-need-to-know-and-adopt/
CATEGORIES:Learning,Live Learning
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