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DTSTART;TZID=Europe/London:20241111T110000
DTEND;TZID=Europe/London:20241111T120000
DTSTAMP:20260505T034103
CREATED:20251119T095910Z
LAST-MODIFIED:20251119T095910Z
UID:312390-1731322800-1731326400@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: Harnessing the Power of AI to Transform Wealth Management
DESCRIPTION:AI promises so much\, but does it really delivery for wealth management?  In this FREE live 60-minute session our experts get beyond the hype to show you how AI-driven solutions are driving changes in the back\, front and middle office to streamlining portfolio management\, personalising client interactions\, and improve investment decision-making.   \nWe will discuss real-world case studies showcasing the successful integration of AI into financial services\, highlighting the measurable benefits of increased scalability\, reduced operational costs\, and enhanced client satisfaction.  \nFurthermore\, attendees will gain insights into the ethical and regulatory considerations essential for the responsible deployment of AI in wealth management. Our expert panel will provide practical tips on overcoming common challenges and maximizing the potential of AI to stay ahead in a competitive market.  \nDon’t miss this opportunity to understand how AI can be a game-changer for your wealth management practice. Register now to embark on a journey towards smarter\, more efficient financial advisory services. 
URL:https://www.pimfa.co.uk/event/pimfa-webinar-harnessing-the-power-of-ai-to-transform-wealth-management/
CATEGORIES:Learning,Webinars
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241118T110000
DTEND;TZID=Europe/London:20241118T120000
DTSTAMP:20260505T034103
CREATED:20241024T121825Z
LAST-MODIFIED:20251118T162504Z
UID:317352-1731927600-1731931200@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: Client Vulnerability: Meeting and Exceeding FCA Expectations
DESCRIPTION:Against a backdrop of changing customer expectations and needs\, regulatory fines\, Dear CEO letters and frequent regulatory announcements\, the need for Wealth Managers\, Private Banks\, and Financial Advice and Planning Firms to deliver improved outcomes for customers with characteristics of vulnerability has never been greater. \nBut just what is expected of firms?   What does ‘vulnerability’ really mean for our sector\, clients\, and work?   And how do we take realistic\, relevant\, and proportionate action to address it? \nTo ensure your firm’s approach to the identification\, treatment\, and outcomes monitoring of customers in vulnerable circumstances meets the FCA’s forthcoming guidance and expectations\, we discuss with Christ Fitch\, Vulnerability Lead Consultant\, The Money Advice Trust  how your firm can: \n\nDesign\, execute and transform your strategy and operating model to better deliver for customer vulnerability.\nAlign your approach to customer vulnerability with industry best practices.\nImplement new approaches to understanding\, managing\, and serving customer vulnerability.\nCreate a commercially realistic and impactful plan for dealing with your firm’s most critical challenges for customers with characteristics of vulnerability.
URL:https://www.pimfa.co.uk/event/pimfa-webinar-client-vulnerability-meeting-and-exceeding-fca-expectations/
CATEGORIES:Learning,Webinars
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241119T110000
DTEND;TZID=Europe/London:20241119T120000
DTSTAMP:20260505T034103
CREATED:20240126T094441Z
LAST-MODIFIED:20251119T172410Z
UID:305950-1732014000-1732017600@www.pimfa.co.uk
SUMMARY:The PIMFA HR Briefing 2024- Session 4: AI and Employment Law: Navigating the future of work
DESCRIPTION:AI has already begun changing the way we work\, and further change in the coming years is inevitable.  The FCA and PRA have outlined their strategic approaches to AI regulation\, focusing on promoting safe and responsible use while fostering innovation. Meanwhile\, the Equality and Human Rights Commission (EHRC) has indicated that it will be focussing on the use of AI in recruitment and developing solutions to address bias and discrimination in AI systems. \nThe Labour government has also indicated it will be considering how to promote best practice in safeguarding against threats to privacy through surveillance technology\, spy ware and discriminatory algorithmic decision-making.  While AI will no doubt open a number of opportunities for employers\, its increased use will also come with risks\, and it is important that employers grapple with these from an early stage. \nIn November’s HR forum\, we explore what AI means for HR and employment law with Clyde & Co’s employment team. \n Key topics will include: \nThe regulators’ strategies for the regulation of AI in financial services \nAI in HR procedures – hiring\, day-to-day work\, and redundancies and dismissals \nRisks in relation to discrimination and data protection \nRecent cases and lessons learnt \nWhat does this mean for HR going forward? \nDon’t miss this opportunity at 11am on 19 November 2024 to gain valuable insights and get your questions answered by Chris Holme and Shadia El Dardiry. \n 
URL:https://www.pimfa.co.uk/event/the-pimfa-hr-briefing-2024-session-1-2-2-2/
CATEGORIES:HR Briefing,Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241120T093000
DTEND;TZID=Europe/London:20241120T123000
DTSTAMP:20260505T034103
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:20241126T140000
DTEND;TZID=Europe/London:20241126T150000
DTSTAMP:20260505T034103
CREATED:20241008T093936Z
LAST-MODIFIED:20251119T162614Z
UID:316765-1732629600-1732633200@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: What Senior Managers Need To Know
DESCRIPTION:FCA fines against firms and individuals totalling £87 million so far in 2024 indicate a serious knowledge gap among senior managers in financial services firms. They are often unprepared and overwhelmed to interpret and respond appropriately to the volume and complexity of regulatory change for which they are responsible. \nIn this FREE 60-minute webinar\, experts from CCL Academy unpack what you\, as a newly appointed or current senior manager\, need to know to make better and more informed decisions to meet the rising expectations of staff\, your board\, and the regulator. \nKey discussion points include: \n1. What recent FCA fines tell us what senior managers need to learn in 2025. \n2. The three most common knowledge gaps found among senior managers which expose their firms to severe risks and uncertainties. \n3. How smart leaders build the breadth and depth of their regulatory knowledge to make better holistic decisions for their firm.
URL:https://www.pimfa.co.uk/event/pimfa-webinar-what-senior-managers-need-to-know/
CATEGORIES:Learning,Webinars
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250114T110000
DTEND;TZID=Europe/London:20250114T120000
DTSTAMP:20260505T034103
CREATED:20241107T095055Z
LAST-MODIFIED:20251118T162321Z
UID:317299-1736852400-1736856000@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: CASS: The calm before the s166 storm
DESCRIPTION:Before the FCA initiates a Section 166 review of your firm’s approach to CASS\, the regulator typically takes several preliminary steps to assess your firm’s compliance and risk profile. Yet for many firm’s the regulators actions before a s166 is triggered\, remain a mystery. \nIn this FREE 60-minute webinar\, we unpick the crucial steps leading up to a Section 166 notice\, demystifying the key processes and interactions the FCA undertakes before a review of a firm’s approach to CASS is initiated.\nTo avoid a painful and costly review of your CASS governance and oversight arrangements\, our panel our experts discuss: \n1. How the FCA is conducting routine supervisory activities on your approach to CASS in 2024. \n2. How the regulator uses data from regulatory submissions and reports to assess and manage your firm’s CASS risks. \n3. How a firm’s CASS compliance breaches informs the FCA’s decision-making process. \n4. How to identify and assess issues that could lead to a s166 review of your firm’s CASS culture\, governance\, and organisational arrangements. \n5. How to proactively use market intelligence\, thematic reviews\, and inspections to eliminate weaknesses in your CASS environment.
URL:https://www.pimfa.co.uk/event/pimfa-webinar-cass-the-calm-before-the-s166-storm/
CATEGORIES:Learning,Webinars
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250121T110000
DTEND;TZID=Europe/London:20250121T120000
DTSTAMP:20260505T034103
CREATED:20241107T100118Z
LAST-MODIFIED:20251118T162150Z
UID:317999-1737457200-1737460800@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: CASS Skilled Person Review: How to Respond\, Tackle and Avoid Action
DESCRIPTION:The FCA’s Section 166\, “Skilled Person Review\,” is one of the regulator’s go-to tools they’re not afraid to use\, when assessing your firm’s compliance with the CASS rules. No need to be concerned? Think again\, as s166 reviews continuing to rise across the sector\, firms should be in no doubt that the FCA is prepared to appoint an independent third party to conduct a ‘drains up’ review of your approach to CASS. \nEven for the largest firms\, a S166 review is intrusive\, expensive\, time-consuming\, and incredibly resource-intensive as your firm attempts to demonstrate effective risk management and adherence to regulatory standards. \nIn this FREE 60-minute webinar\, we’ve assembled a panel of FCA-appointed skilled persons alongside specialists in CASS compliance to answer your most pressing concerns about the s166 review process. No question is off limits as we tackle: \n1. ‘Help\, we’ve got a s166 notice!’\n2. What to do if The FCA commissions a s166 review\n3. How to get the most from a CASS s166 review\n4. The costs of a skilled person review\n5. The foolishness or wisdom of challenging the findings of a s166 review\n6. The most effective strategies to avoid a skilled person review \n  \n  \n  \n 
URL:https://www.pimfa.co.uk/event/pimfa-webinar-cass-skilled-person-review-how-to-respond-tackle-and-avoid-action/
CATEGORIES:Learning,Webinars
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END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250128
DTEND;VALUE=DATE:20250129
DTSTAMP:20260505T034103
CREATED:20241119T132753Z
LAST-MODIFIED:20251029T134845Z
UID:318412-1738022400-1738108799@www.pimfa.co.uk
SUMMARY:PIMFA Learning: The SMF Regulatory Briefing Programme 2025 - All You Need to Know About Everything That Matters Most
DESCRIPTION:What the FCA expects from Senior Managers \nThe 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. \nRemaining Fit and Proper \nBut 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. \nThe solution \nPIMFA’s new 12-month ‘SMF 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: \n\nKeep up to date with the latest regulatory trends and initiatives\nDemonstrate their commitment to regulatory proficiency\nAccess the training at a convenient time\, through our on-demand learning platform\nDocument CPD activity as required\n\nHighlights and key outcomes \nBy enrolling on ‘The SMF Regulatory Briefing Programme 2025’\, SMFs will be able to: \n\nEvidence to the FCA their in-role competency and capability required under SMCR.\nRapidly assess the firm’s compliance exposure and vulnerabilities.\nGet ahead and make sense of a broad\, complex\, and ever-evolving regulatory and compliance landscape.\nSet priorities to develop a proactive regulatory change management programme.\nLead your firm on how best to mitigate risks\, create a firm-wide compliance culture\, make sound decisions\, and build resilience across the business.\nImprove their strategic thinking and ability to respond to regulatory change effectively.\nExplore with peers the latest research and best practices for managing risk to safeguard enterprise value.\n\nSession format \nEach session includes a mix of expert-led presentations\, real-world case studies and small group discussions. \nProgramme topics and schedule \nThrough 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. \nFormat: 12 x 1-hour monthly sessions \nDelivery: Live\, expert-led online learning sessions \nStart date: 28 Jan 2025 – 11th Dec 2025 \nDuration: 12 months
URL:https://www.pimfa.co.uk/event/pimfa-learning-the-smf-regulatory-briefing-programme-2025-all-you-need-to-know-about-everything-that-matters-most/
CATEGORIES:Learning,Programmes
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LOCATION:
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250128T140000
DTEND;TZID=Europe/London:20250128T170000
DTSTAMP:20260505T034103
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:20250129T100000
DTEND;TZID=Europe/London:20250129T120000
DTSTAMP:20260505T034103
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:20250210T093000
DTEND;TZID=Europe/London:20250210T123000
DTSTAMP:20260505T034103
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
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/10/iStock-666036894-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250225T110000
DTEND;TZID=Europe/London:20250225T120000
DTSTAMP:20260505T034103
CREATED:20250113T110431Z
LAST-MODIFIED:20251119T110108Z
UID:320520-1740481200-1740484800@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: The Duty to Prevent Sexual Harassment
DESCRIPTION:On 26 October 2024\, a new section of the Equality Act 2010 came into force\, placing a new duty on firms to take reasonable steps to prevent the harassment of a sexual nature of workers in the course of their employment. \nIn this FREE 60-minute webinar\, employment law experts from DAC Beachcroft LLP will explore what the newly established legal obligation is\, means in practice and what steps should be taken to avoid falling foul of the new law as well as for employers regarding the prevention of sexual harassment in the workplace taking a deep-dive look into how PIMFA member firms\, can simply and effectively create a culture of accountability and openness\, where employees feel empowered to report incidents of any form of harassment without fear of retaliation. \nTime has been set aside on the webinar to ask our experts how these changes impact your firm’s responsibilities and employee rights\, showcasing how leading firms are building a safer and more inclusive work environment. \nKey points discussed: \n• What is the new duty?\n• Key responsibilities of employers\n• Recognising\, addressing\, and preventing harassment\n• Reasonable steps\n• Strategies for encouraging bystander intervention and promoting respectful workplace behaviour.\n• Consequences of non-compliance\n• Can we expect further change?
URL:https://www.pimfa.co.uk/event/pimfa-webinar-the-duty-to-prevent-sexual-harassment/
CATEGORIES:Learning,Webinars
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/11/andre-benz-_F3VBwffsOE-unsplash-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250304T140000
DTEND;TZID=Europe/London:20250304T150000
DTSTAMP:20260505T034103
CREATED:20250327T121333Z
LAST-MODIFIED:20250918T133044Z
UID:324340-1741096800-1741100400@www.pimfa.co.uk
SUMMARY:PIMFA HR Briefing 2025 - HR Leaders Looking Back\, Moving Forward: 2024 Summary and 2025 Kick-Off
DESCRIPTION:Challenging times lie ahead for HR leaders\, but so do opportunities. In the first HR Briefing of the year\, the employment team at Clyde & Co. will review what you might have missed in 2024\, and what you need to know to prepare for the employment law changes in 2025. \nIn this  HR Briefing session\, Chris Holme and Shadia El Dardiry will take you through both recent and upcoming changes which are significant for HR professionals and in-house lawyers in PIMFA member firms this year. \nThey will look back at the key employment law developments in 2024\, and will consider what these mean for financial services firms. In addition\, they will provide a case law update on key decisions from last year. \nThere are a number of changes being introduced this year which they will take you through – as well as the practical steps you should be considering in 2025 in order to prepare for the significant upcoming employment law reforms. The webinar will also remind firms of the proposed regulatory changes on non-financial misconduct and diversity and inclusion in relation to which the FCA is publishing policy statements.
URL:https://www.pimfa.co.uk/event/pimfa-hr-briefing-2025-hr-leaders-looking-back-moving-forward-2024-summary-and-2025-kick-off/
CATEGORIES:HR Briefing,Learning
ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2025/12/800x800_two-Women_surfing.png
ORGANIZER;CN="PIMFA - Learning":MAILTO:learning@pimfa.co.uk
LOCATION:https://www.pimfa.co.uk/event/pimfa-hr-briefing-2025-hr-leaders-looking-back-moving-forward-2024-summary-and-2025-kick-off/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250306T110000
DTEND;TZID=Europe/London:20250306T120000
DTSTAMP:20260505T034103
CREATED:20250205T141837Z
LAST-MODIFIED:20251119T101651Z
UID:321027-1741258800-1741262400@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: M&A in Wealth: Trends and Predictions in 2025
DESCRIPTION:With yet another eventful year for M&A now behind us\, what does 2025 hold for M&A activity in wealth and personal finance? In this free 60-minute webinar\, we ask sellers\, acquirers\, advisory firms and M&A experts their views and opinions on: \n\nWill deals continue in 2025? If so\, at what pace?\nWhy consolidation trends remain robust among smaller firms.\nWhat makes for a successful\, credible deal in 2025?
URL:https://www.pimfa.co.uk/event/pimfa-webinar-ma-in-wealth-trends-and-predictions-in-2025/
CATEGORIES:Learning
ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2024/11/Group-Banner.png
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250312T093000
DTEND;TZID=Europe/London:20250312T123000
DTSTAMP:20260505T034103
CREATED:20241203T123749Z
LAST-MODIFIED:20251113T163653Z
UID:312314-1741771800-1741782600@www.pimfa.co.uk
SUMMARY:PIMFA Roundtable: Avoiding A Culture of Complacency
DESCRIPTION:Culture lies at the heart of strengthening your approach to Consumer Duty\, Financial Crime\, DEI and Vulnerable customers. Yet\, despite the frequent reminders from the FCA\, wealth management firms still need to work on demonstrating to the regulator how they can positively shift the culture needle.  \nThrough role plays\, scenarios and case studies\, our experts in this free\, invite-only roundtable discussion unpack:  \n\nWhy Culture remains central to the FCA’s supervisory model \nHow to reset and refocus your approach to Culture to meet heightened FCA expectations \nHow leading firms cut through the complexity to stay ahead of emerging Culture and Conduct risks   
URL:https://www.pimfa.co.uk/event/pimfa-roundtable-avoiding-a-culture-of-complacency/
CATEGORIES:Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/05/big-raimond-klavins-ebhM0GQ87H8-unsplash.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250520T090000
DTEND;TZID=Europe/London:20250521T170000
DTSTAMP:20260505T034103
CREATED:20240612T121202Z
LAST-MODIFIED:20250701T073134Z
UID:310730-1747731600-1747846800@www.pimfa.co.uk
SUMMARY:The PIMFA CASS Academy 2025
DESCRIPTION:Research shows that firms continue to fall foul of time-consuming and expensive CASS audits\, and even those firms with a mature understanding of the CASS rules aren’t immune to escalating CASS audit fees. The problem often isn’t with knowing the CASS rules – many strategies are well understood – but with execution and application. \n The PIMFA CASS Clients Academy is a unique learning experience for member firms who\, not content to keep up with CASS requirements\, seek to expand their knowledge and strengthen their internal capabilities to arrest rising CASS audit fees and ensure the number of incidences and breaches reported to the FCA continues to drop. \nThe PIMFA CASS Clients Academy (CCA) will change the way you and your firm approach CASS. You will emerge better able to tackle your firms toughest CASS audit challenges\, lead with greater CASS knowledge\, and inspire assurance at all levels in your firm that your next CASS audit is a success. CCA rapidly upskills CASS Officers\, Operations\, Compliance\, Certification Function Holders\, and Custodians to manage your next CASS audit and withstand scrutiny from regulators\, auditors and senior managers. \nThis event will take place in person on the 20th and 21st of May 2025 \n20 St. Andrew Street\, London\, EC4A 3AG \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. \nFor further information and any questions regarding the course please contact learning@pimfa.co.uk  \n 
URL:https://www.pimfa.co.uk/event/pimfa-cass-academy-2025/
CATEGORIES:Learning,Programmes
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;TZID=Europe/London:20250520T090000
DTEND;TZID=Europe/London:20250521T170000
DTSTAMP:20260505T034103
CREATED:20250326T171253Z
LAST-MODIFIED:20250701T073127Z
UID:324300-1747731600-1747846800@www.pimfa.co.uk
SUMMARY:The PIMFA CASS Academy 2025
DESCRIPTION:Research shows that firms continue to fall foul of time-consuming and expensive CASS audits\, and even those firms with a mature understanding of the CASS rules aren’t immune to escalating CASS audit fees. The problem often isn’t with knowing the CASS rules – many strategies are well understood – but with execution and application. \n The PIMFA CASS Clients Academy is a unique learning experience for member firms who\, not content to keep up with CASS requirements\, seek to expand their knowledge and strengthen their internal capabilities to arrest rising CASS audit fees and ensure the number of incidences and breaches reported to the FCA continues to drop. \nThe PIMFA CASS Clients Academy (CCA) will change the way you and your firm approach CASS. You will emerge better able to tackle your firms toughest CASS audit challenges\, lead with greater CASS knowledge\, and inspire assurance at all levels in your firm that your next CASS audit is a success. CCA rapidly upskills CASS Officers\, Operations\, Compliance\, Certification Function Holders\, and Custodians to manage your next CASS audit and withstand scrutiny from regulators\, auditors and senior managers. \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. \nFor further information and any questions regarding the course please contact learning@pimfa.co.uk  \n 
URL:https://www.pimfa.co.uk/event/the-pimfa-cass-academy-2025/
LOCATION:cbre\, 20 St Andrew Street\, London\, EC4A 3AG\, United Kingdom
CATEGORIES:Learning,Programmes
ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2025/03/Cass-Academy.png
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250605T140000
DTEND;TZID=Europe/London:20250605T150000
DTSTAMP:20260505T034103
CREATED:20250430T134533Z
LAST-MODIFIED:20250605T091408Z
UID:325712-1749132000-1749135600@www.pimfa.co.uk
SUMMARY:PIMFA HR Briefing- DEI: What now\, what next for HR? June 2025
DESCRIPTION:In April\, the FCA announced that it will no longer bring forward proposals requiring many firms to develop a diversity and inclusion strategy\, collect and share data\, and set targets to address underrepresentation. That said\, the regulator still believes that DEI can deliver improved internal governance\, decision-making\, and risk management. Contrast this with the rollback on DEI initiatives by the US government with many firms like Google\, META\, and Adobe following suit and scaling back their diversity\, equity\, and inclusion (DEI) efforts; where does that leave HR in the UK advice firms leading and managing their firms’ DEI initiatives? \nIn this session of PIMFA’s HR Briefing\, delivered by the employment team at Clyde & Co.\, HR leaders will share their strategies and approaches to DEI\, equality\, and weaving inclusivity into the fabric of workplace culture. \nYou won’t want to miss this discussion\, so secure your FREE place today!s
URL:https://www.pimfa.co.uk/event/pimfa-hr-forum-dei-what-now-what-next-for-hr-june-2025/
CATEGORIES:HR Briefing,Learning
ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2025/12/800x800_yellow-people-walking.png
LOCATION:
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250703T110000
DTEND;TZID=Europe/London:20250703T120000
DTSTAMP:20260505T034103
CREATED:20250527T091520Z
LAST-MODIFIED:20251119T163000Z
UID:326703-1751540400-1751544000@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: Why M&A Goes Wrong 2025
DESCRIPTION:What happens when M&A deals in the wealth sector just fall off the rails\, don’t go to plan\, or just never happen? No one talks about it\, but they should. \nKey discussion topics include: \n\nCultural integration failures\nOvervaluation of assets\nInadequate due diligence processes\, which often undermine potential synergies\n\nBy attending this webinar\, you’ll learn: \n\nWhat jeopardises M&A deals in 2025\nHow regulatory change can impact deals\nHow to improve your chance of a successful M&A deal\nThe key M&A deal evaluation metrics that really matter\nHow to develop and execute a robust post-merger integration plan
URL:https://www.pimfa.co.uk/event/pimfa-webinar-why-ma-goes-wrong-2025/
CATEGORIES:Learning,Webinars
ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2025/06/MA-general-avatar_light.png
LOCATION:https://www.pimfa.co.uk/event/pimfa-webinar-why-ma-goes-wrong-2025/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250710T120000
DTEND;TZID=Europe/London:20250710T130000
DTSTAMP:20260505T034103
CREATED:20250612T145350Z
LAST-MODIFIED:20250616T103301Z
UID:327283-1752148800-1752152400@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: SDR – One Year On\, What’s Changed and What’s Next?
DESCRIPTION:If a week’s a long time in politics\, how would you describe the last 12 months of Sustainability Disclosure Requirements (SDR)? \nIn this FREE 60-minute webinar\, our expert panel reflects on the challenges faced\, the opportunities seized\, and how firms are now embedding SDR into product design and reporting. We’ll also consider what’s next\, including anticipated FCA supervisory activity\, international alignment with regimes such as the EU SFDR and ISSB standards\, and how firms can futureproof their sustainability strategies. \nSo\, whether you’re in compliance\, investment\, product\, or sustainability roles\, this webinar provides practical insights and peer-led perspectives on how to navigate SDR successfully – now and into the future. \nWho should attend: \nHeads of Compliance\, ESG Leads\, Product Teams\, Investment Professionals\, and anyone responsible for sustainability reporting and governance.
URL:https://www.pimfa.co.uk/event/pimfa-webinar-sdr-one-year-on-whats-changed-and-whats-next/
CATEGORIES:Learning,Webinars
ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2025/06/ESG-favicon-copy_web-dark.png
LOCATION:https://www.pimfa.co.uk/event/pimfa-webinar-sdr-one-year-on-whats-changed-and-whats-next/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250923T093000
DTEND;TZID=Europe/London:20251118T123000
DTSTAMP:20260505T034103
CREATED:20240919T103447Z
LAST-MODIFIED:20250731T162902Z
UID:314940-1758619800-1763469000@www.pimfa.co.uk
SUMMARY:The PIMFA Customer Vulnerability Learning Programme 2025
DESCRIPTION:🎟️ This Event Has Officially Sold Out!\n\nThe FCA’s long-awaited published review of Customers in Vulnerable Circumstances (March 2025) leaves no room for doubt\, requiring an immediate response from PIMFA wealth firms seeking to continually meet the regulator’s expectations.  \nAnd with the FCA not afraid to use the “pointy end of our toolkit” (Alison Walters\, FCA’s Director of Consumer Finance\, speech 11th March)\, band-aid or bolt-on solutions for identifying vulnerable customers\, outcomes monitoring\, data\, staff training\, and product and service design by firms won’t cut it; all must be improved to ensure that vulnerable customers of wealth managers receive the support they need.  \nA unique learning offering   \nPIMFA’s Customer Vulnerability Learning Programme\, led by the award-winning vulnerability training team at The Money Advice Trust\, is the only Vulnerability training programme that integrates PIMFA’s own Understanding Customer Vulnerability guidance (Nov. 2024) with the FCA’s Good and Poor Practice (March 2025) to offer members our most robust and comprehensive vulnerability training ever offered to wealth managers.  \nA full-on\, immersive\, root-and-branch training experience\, PIMFA’s Customer Vulnerability Learning Programme provides firms with ‘know how’ needed to transform their processes\, systems\, and people to deliver better outcomes for vulnerable customers.   \nPIMFA’s Vulnerability Learning Programme will support your firm:  \n\nAccelerate the adoption of new FCA expectations on vulnerability in your firm \nDesign best-in-class experiences for Customers in vulnerable circumstances \nBuild and lead a more effective strategy on vulnerability \nDevelop a shared vision of success around your approach to vulnerability \nAnticipate\, evaluate\, and proactively respond to FCA expectations \nBuild a customer centric culture into the fabric of your firm and foster a new sense of purpose   \n\nDownload the brochure to find out how our new Customer Vulnerability Learning Programme can support you in developing a firm-wide strategy for customer vulnerability. \nIf you are a PIMFA Member\, please ensure you are logged in to see member tickets. \n  \nAdvance your skills\, Bring a colleague along for FREE!  \nPlease email learning@pimfa.co.uk if you would like to take advantage of this amazing offer!
URL:https://www.pimfa.co.uk/event/the-pimfa-customer-vulnerability-academy-2025/
CATEGORIES:Learning,Programmes
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LOCATION:
END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20251014
DTEND;VALUE=DATE:20251015
DTSTAMP:20260505T034103
CREATED:20240410T124534Z
LAST-MODIFIED:20251211T112956Z
UID:308769-1760400000-1760486399@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Authentic Leadership: How to thrive as a female leader in wealth and finance-2025
DESCRIPTION: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. \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 
URL:https://www.pimfa.co.uk/event/authentic-leadership-how-to-thrive-as-a-female-leader-in-wealth-and-finance-2025/
LOCATION:See description for details
CATEGORIES:Learning,Programmes
ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2025/06/Autentic-Leadership-Favicon-web.png
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251014T093000
DTEND;TZID=Europe/London:20251014T113000
DTSTAMP:20260505T034103
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
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
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251016T140000
DTEND;TZID=Europe/London:20251016T173000
DTSTAMP:20260505T034103
CREATED:20250818T084302Z
LAST-MODIFIED:20251120T160547Z
UID:335140-1760623200-1760635800@www.pimfa.co.uk
SUMMARY:Culture & Inclusion Roundtable Event
DESCRIPTION:PIMFA\, as a longtime advocate of DE&I\, both for its ethical merits\, and a deep seated belief in its importance for a well performing business culture.  We will be hosting a half day roundtable in October\, under Chatham house rules\, to facilitate a dialogue and through discussions of good practices identify what firms are doing to create inclusive cultures\, the impact it is creating and  what companies are doing to remain true to their values and overcome challenges and pushback. \nPIMFA CEO Liz Field\, and PIMFA Chair\, The Rt. Hon John Gummer\, Lord Deben\, will be speaking to the subject and hosting roundtable discussions on this important topic with additional guest speakers being drawn from previous winners of the PIMFA D&I Awards\, to discuss their pragmatic advice on inclusion implementation and the changing landscape. If you have an interest in the subject\, we encourage you to book your place sooner rather than later\, as ticket numbers will be restricted. This event is free for PIMFA members. \n 
URL:https://www.pimfa.co.uk/event/culture-inclusion-roundtable-event/
LOCATION:Howden\, One Creechurch Ln\, London\, EC3A 5AF\, United Kingdom
CATEGORIES:Learning,PIMFA Events,Roundtables
ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2025/06/Roundtable-avatar_white_web.png
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251021T110000
DTEND;TZID=Europe/London:20251021T120000
DTSTAMP:20260505T034103
CREATED:20250916T144706Z
LAST-MODIFIED:20250918T125715Z
UID:338381-1761044400-1761048000@www.pimfa.co.uk
SUMMARY:PIMFA HR Briefing 2025: From Policy to Practice: HR’s Role in FCA Misconduct Rules
DESCRIPTION:Non-financial misconduct is under comprehensive scrutiny from all fronts. \nFrom 1 September 2026\, wealth and advice firms will be subject to the FCA’s tougher stance on non-financial misconduct. This means that serious cases of bullying\, harassment\, or violence that lead to disciplinary action must be reported to the regulator\, not just handled internally. \nIn this FREE 60-minute webinar\, employment lawyers Chris Holme and Anousheh Bromfield of Clyde & Co cut through the complexity to show HR professionals what the change in the Rules mean in practice\, how to update policies and investigations\, and how to balance employment law with regulatory duties\, and how to deal with non-financial misconduct between now and when the new Rules come into force.\nAttending this session will help HR professionals: \n1. Understand the FCA’s broadened remit on non-financial misconduct and its implications for HR.\n2. Ensure compliance ahead of the new rules taking effect next year and understanding what to do in the interim.\n3. Map the impact of the new rules on your policies\, procedures and frameworks\n4. Get started on assessing current COCON and FIT frameworks to identify gaps against new rules and proposed guidance\n5. Distinguish between misconduct that is purely HR-managed and that which must be reported to the FCA.
URL:https://www.pimfa.co.uk/event/pimfa-hr-briefing-2025-from-policy-to-practice-hrs-role-in-fca-misconduct-rules/
CATEGORIES:HR Briefing,Learning
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ORGANIZER;CN="PIMFA - Learning":MAILTO:learning@pimfa.co.uk
LOCATION:https://www.pimfa.co.uk/event/pimfa-hr-briefing-2025-from-policy-to-practice-hrs-role-in-fca-misconduct-rules/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251105T090000
DTEND;TZID=Europe/London:20251105T120000
DTSTAMP:20260505T034103
CREATED:20250808T090030Z
LAST-MODIFIED:20251021T122715Z
UID:334409-1762333200-1762344000@www.pimfa.co.uk
SUMMARY:PIMFA Roundtable: AI in Wealth Management 2025
DESCRIPTION:This invite-only event brings together leaders from across the PIMFA membership to discuss practical AI use cases\, ethical and compliance considerations and tangible value creation. Expect deep insights from AI software houses\, honest conversations between member firms\, and thus equipping participants to make better choices about where to take their firm – all under Chatham House rules. \nWho Should Attend: \n\nCOOs and CTOs\nCompliance & Risk Leaders\nHeads of Digital & Innovation\nSenior Wealth Managers and Planners\n\nWhat’s Included: \n\nBreakfast networking\nExpert panel sessions\nInteractive roundtables\nAction-oriented takeaways\nComplimentary lunch\n\nPlease note that places are limited and allocated on a first-come\, first-served basis
URL:https://www.pimfa.co.uk/event/pimfa-roundtable-ai-in-wealth-management/
LOCATION:Farrer & Co\, 55- 56 Lincoln's Inn Fields\, London\, WC2A 3LJ
CATEGORIES:Learning,Roundtables
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251106T093000
DTEND;TZID=Europe/London:20251106T113000
DTSTAMP:20260505T034103
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;VALUE=DATE:20251112
DTEND;VALUE=DATE:20251113
DTSTAMP:20260505T034103
CREATED:20250723T094233Z
LAST-MODIFIED:20251208T100207Z
UID:332762-1762905600-1762991999@www.pimfa.co.uk
SUMMARY:The Wealth Management Financial Crime Compliance Learning Programme – Meeting FCA Expectations in 2025 and Beyond
DESCRIPTION:The Challenge  \nThe fight against financial crime never stops.   \nA rapidly changing threat landscape\, alongside increasing regulatory demands\, challenges all wealth managers and advice firms to craft an effective and efficient anti-financial crime compliance programme that is not only proportionate to their risk environment and commensurate with the size and nature of their operation but also fully compliant with FCA expectations.   \nThe Solution  \nPIMFA’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. The programme offers examples of industry best practice solutions on issues like firm-wide risk assessments\, transaction monitoring\, PEPs\, sanctions and adverse media.   \nBenefits for you  \nThis monthly CPD-approved programme develops your skills and competencies to:  \n\nEffectively implement and respond to FCA requirements \nIdentify and address vulnerabilities in your approach to financial crime compliance \nThoroughly prepare your firm to respond to key regulatory changes in 2025 and beyond \nEnsure your enterprise-wide risk assessment focuses on real risks and drives positive organisational change \nFollow industry best practice approaches to KYC\, CDD\, EDD and ODD\nCalibrate your financial crime controls\, policies and control frameworks to your firm’s risk profile \n\nBenefits for your firm  \nFor your firm\, this programme:  \n\nDelivers clarity\, structure\, and confidence that your approach to financial crime compliance keeps pace with changing regulatory expectations. \nChallenges you to identify and make essential changes to the firm’s approach to financial crime compliance before the FCA does.\nOptimises your three lines of defence to mitigate financial crime risk management gaps and duplication of unnecessary risk coverage Supports leaders to design and deploy a financial crime compliance strategy that supports business growth.  \nProvides practical advice on developing an enterprise-wide risk assessment to focus on real risks to drive positive organisational change.\n\nExpert-led learning and support  \nCo-created with former regulators and industry experts from advisory firm Avyse Partners\, senior legal professionals at Shoosmiths and technologists from Malverde and ID Pal\, this programme delivers real-time insights and practical lessons drawn from their direct work with firms and ongoing dialogue with the FCA. Through their collective wisdom and experience\, you’ll gain access to proven tools\, strategies\, and analytical frameworks you can immediately use to manage financial crime risks in your firm proactively.   \nIs this programme for you? \nStaying ahead of financial crime is essential. Whether you’re managing an incident or meeting regulatory obligations\, thinking ahead can make all the difference. This timely and topical programme combines thinking with doing\, providing a comprehensive set of strategic and practical skills to ensure your compliance is both resilient and responsive. You’ll learn invaluable tools and tactics that you can implement straight away — whether dealing with internal stakeholders\, the board or the regulator. \nIndividuals who will gain most from this programme include\, but are not limited to: \n\nHeads of Compliance\nMoney Laundering Reporting Officer (MLRO)\nDeputy Money Laundering Officer (DMLRO)\nHeads of Legal and Regulatory Change\nManagers with responsibility for fraud\, financial crime and AML controls\nRisk Managers\nAdvisory and Investigation roles\nInternal Audit and Regulatory staff\n\nThis programme is for you if you want to: \n\nReduce your risk exposure: Our instructors are ‘in the trenches’ every day identifying and mitigating risks for firms – update your learning to reflect what’s happening now\, not last year.\nDo what matters most: As a financial crime compliance professional you’re up against it\, we get it. Each session provides you with clarity and focus to separate the urgent from the important.\nSpot risks before they become threats: Work hand-in-hand with trusted experts to avoid regulatory misalignment and best meet your financial crime.\nBecome a more effective financial crime compliance leader: A robust blend of presentations\, case studies\, debates and small group discussions are key programme features that will help you learn to think on your feet\, sharpen your analytical skills\, and make critical decisions in real-time.\nBenchmark your compliance efforts: See how your firm’s approach to financial crime stacks up against industry standards and peers across various aspects\, including sanctions\, money laundering\, fraud and cyber crime.\nDemonstrate your commitment to continuous learning: Knowledge is power with this CISI-approved programme that gives you 12 CPD hours.
URL:https://www.pimfa.co.uk/event/the-pimfa-wealth-management-financial-crime-compliance-programme-meeting-fca-expectations-2025/
CATEGORIES:Learning,Programmes
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LOCATION:
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BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251113T000000
DTEND;TZID=Europe/London:20251113T000000
DTSTAMP:20260505T034103
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
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:20251113T000000
DTEND;TZID=Europe/London:20251113T000000
DTSTAMP:20260505T034103
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
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2025/06/800x800_hot-air-balloon_red_zoomed-out.jpg
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