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Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world. Bringing together a high-level audience who can engage with the experts, this conference will facilitate fruitful discussions with opportunity for questions and networking. …
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£275.00 – £630.00
Date & Time: 25th Sep 2025 (10:00 - 18:00)
CPD: TBC
Location: Hybrid
PIMFA’s monthly Wealth Management Financial Crime Compliance Learning Programme ensures senior managers, MLRO/DMLOs, Heads of Compliance, compliance officers and legal professionals don’t just keep up to date with key changes and regulatory deadlines, but develop the clarity, direction and insight they need to design an effective and efficient anti-financial crime control framework that protects their firm, creates value and enhances revenue opportunities. …
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£695.00 – £895.00
Date & Time: 12th Nov 2025 (0:00) - 11th Nov 2026 (0:00)
CPD: 12
Location: Virtual
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. In 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…
Date & Time: 02nd Nov 2023 (0:00 - 23:59)
Location: In Person
There is no room for complacency for PIMFA member firms regarding financial promotions. The FCA has just announced that it amended or withdrew 1,507 promotions by 54 authorised firms between April – June 2023. Digging through the details of the statement reveals that retail investments and retail lending were the sectors with the highest amend/withdraw outcomes, totalling 70% of interventions with authorised firms. Consumer Duty…
£250.00 – £350.00
Date & Time: 22nd Nov 2023 (9:30 - 11:30)
CPD: 2
Location: In Person
Register your interest now According 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. As a leadership development program for women in finance and wealth, we directly…
£3,750.00 – £4,250.00
Date & Time: 06th Feb 2024 (0:00 - 23:59)
CPD: 12
Location: See description for details
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. 'Bring your colleague…
£250.00 – £350.00
Date & Time: 27th Feb 2024 (9:30 - 12:30)
CPD: 2
Location: In Person
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. The stakes are high, and although there is a temptation to populate a template, your first Consumer Duty Board Report is a critical document that…
£400.00 – £500.00
Date & Time: 16th May 2024 (9:30 - 12:30)
CPD: 3
Location: In Person
Will your firm still be trusted by your clients after a major disruption or even crisis has occurred? Today, 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…
£400.00 – £500.00
Date & Time: 21st May 2024 (9:30 - 12:30)
CPD: 3
Location: In Person