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DTSTART;TZID=Europe/London:20240125T110000
DTEND;TZID=Europe/London:20240125T120000
DTSTAMP:20260506T053138
CREATED:20230912T090335Z
LAST-MODIFIED:20251119T091306Z
UID:294950-1706180400-1706184000@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: Climate change and Financial Crime: A vicious cycle
DESCRIPTION:Join financial crime platform Themis as they take you through the links between financial crime and climate change\, demonstrating why the ‘S’ and the ‘G’ of ESG are just as important for firms’ climate change efforts as the ‘E’. \nIn this FREE 60-minute webinar\, we look at how financial crime harms the environment and contributes to climate change\, and how\, in a vicious cycle\, climate change is further fuelling financial crime worldwide. We also discuss how firms can help reduce their carbon footprint and damaging environmental impacts through their anti-financial crime efforts; for example\, through adequate supply chain risk assessment\, customer due diligence and responsible investment. \nThis webinar will help you understand: \n– The links between financial crime and climate change\n– Why tackling financial crime is just as important for the ‘E’ as the ‘S’ and the ‘G’ in ESG\n– Some of the ways you can address climate change and your carbon footprint through anti-financial crime efforts
URL:https://www.pimfa.co.uk/event/pimfa-webinar-climate-change-and-financial-crime-a-vicious-cycle/
CATEGORIES:Learning,Webinars
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END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20240206
DTEND;VALUE=DATE:20240207
DTSTAMP:20260506T053138
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
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240215T100000
DTEND;TZID=Europe/London:20240215T110000
DTSTAMP:20260506T053138
CREATED:20240116T114623Z
LAST-MODIFIED:20251119T095201Z
UID:304695-1707991200-1707994800@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: Financial Crime Outlook 2024: What You Need To Know’
DESCRIPTION:Whilst some of the same financial crime compliance challenges remain and other risks emerge\, what’s clear is that reducing financial crime continues to be a FCA priority in 2024. The regulator’s dedicated financial crime function within Consumer Investments will be proactive in identifying firms with fraud\, scams\, money laundering or sanctions risk indicators using data and intelligence. Expect to see an increase in on-site visits and inspections with little-to-no warning. Your preparedness for regulatory scrutiny will be critical. \nBeing confident that you are meeting\, implementing and embedding the regulator’s expectations and play your part to reduce financial crime is key. Rebecca Cummings and Daisy White-Smith of Avyse Partners outline and prioritise your financial crime objectives for the year ahead. \nKey topic areas for discussion include\, but are not limited to: \n\nThe treatment of domestic PEPs and practical considerations\nAn overview of The Economic Crime and Corporate Transparency Act 2023 and the implications for firms in the wealth and investment management sectors\nSanctions compliance – key areas to focus on in 2024\nCollating\, analysing and reporting data to support identification and management of financial crime risks
URL:https://www.pimfa.co.uk/event/pimfa-webinar-financial-crime-outlook-2024-what-you-need-to-know/
CATEGORIES:Learning,Webinars
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240227T093000
DTEND;TZID=Europe/London:20240227T123000
DTSTAMP:20260506T053138
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
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240227T100000
DTEND;TZID=Europe/London:20240326T120000
DTSTAMP:20260506T053138
CREATED:20230706T102054Z
LAST-MODIFIED:20251119T173424Z
UID:290900-1709028000-1711454400@www.pimfa.co.uk
SUMMARY:The PIMFA Transaction Reporting Academy 2024
DESCRIPTION: Live\, tutor-led online sessions\, with our partners Kaizen Reporting  \nThe challenge \nAccurate and complete transaction reporting is a legal obligation. Yet many financial firms\, even those with significant resources dedicated to this complex requirement\, are falling short of regulatory expectations.  Quality assurance testing by regulatory specialists Kaizen have found that only 13% of MiFID II transactions are reported accurately. \nThe consequences of incorrect reporting are serious and include regulatory scrutiny and sanctions\, as well as the significant cost and resource involved in remediating incorrect reports. \nThe solution \nThe PIMFA Transaction Reporting Academy (TRA) is an innovative\, practical and results-focused learning experience that augments your core reporting skills while deepening your knowledge in key areas of the MiFIR reporting requirements. \nPlease click here for more information \n  \nSession 1: 27 February\nSession 2: 5 March\nSession 3: 12 March\nSession 4: 19 March\nSession 5: 26 March
URL:https://www.pimfa.co.uk/event/the-pimfa-transaction-reporting-academy-2024/
CATEGORIES:Learning,Programmes
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240304T160000
DTEND;TZID=Europe/London:20240304T190000
DTSTAMP:20260506T053138
CREATED:20240206T091920Z
LAST-MODIFIED:20251113T153754Z
UID:306414-1709568000-1709578800@www.pimfa.co.uk
SUMMARY:PIMFA Forum: Breaking Barriers: Empowering Women in Wealth Management and Financial Advice
DESCRIPTION:PIMFA proudly presents a transformative event in celebration of International Women’s Day 2024: Breaking Barriers. Our mission is to redefine the landscape of wealth management and financial advice by attracting a diverse group of young minds. With the inspiring theme of ‘Inspiring Inclusion\,’ we want to create an industry that every individual can see themselves in both to work and build their financial education. \nTaking place virtually on Zoom\, the event aims to inspire and empower the next generation of young women and girls across the UK in the field of wealth management and financial advice. It will feature senior leaders from the industry\, two-panel sessions followed by a virtual Q&A networking where attendees can build meaningful connections with Senior HR leaders to learn about how to get into the industry. \nWho is the event for? \nThis event is for young people (including those not in education)\, students\, undergraduates\, graduates\, postgraduates\, and people interested in a career in finance or already working in the industry. \nEvent Highlights: \n\nInspiring Panel Sessions: Immerse yourself in the narratives of industry leaders who shattered glass ceilings\, paving the way for future generations.\nAuthenticity in Focus: Our esteemed panellists will share genuine career journeys\, offering insights into overcoming challenges\, seizing opportunities\, and navigating the path to success.\nInteractive Q&A and Virtual Networking Session: Engage directly with industry leaders during an interactive Q&A\, fostering meaningful connections\, and gaining knowledge about entering and thriving in the industry.\n\nProgramme: View the Programme\nPanel 1: Authentic Leaders: Navigating Success in Wealth Management and Financial Advice (4:00 pm – 5:00 pm) \nExperience the authenticity of senior leaders sharing insights about their career journey. Discover how they’ve overcome challenges\, seized opportunities\, and navigated the path to success within the industry. \nPanel 2: Stepping in\, stepping up: How to make it (5:00 pm – 6:00 pm) \n Hear from industry professionals as they share strategies\, insights\, and personal journeys on how they are making it in the industry. \nInteractive Q&A and Virtual Networking Session (6:00 pm – 7:00 pm) \nA key component of the event is to engage directly with industry leaders\, build meaningful connections\, find out how to get into the industry\, and discover what organizations look for in future talents. You will have the opportunity to network and interact with industry professionals\, including senior HR and recruitment leaders. \nJoin us in Breaking Barriers – where empowerment meets opportunity! Secure your spot now and let’s inspire inclusion together! \n#BreakingBarriers #EmpowerWomenInFinance #IWD2024 \nFor inquiries please contact Oris Ikomi at orisi@pimfa.co.uk or 020 7011 9862 \nZoom link \nRegister in advance for this webinar:\nhere \nAfter registering\, you will receive a confirmation email containing information about joining the webinar. \n——— \n 
URL:https://www.pimfa.co.uk/event/pimfa-breaking-barriers-empowering-women-in-wealth-management-and-financial-advice/
CATEGORIES:Learning,Programmes
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240306T140000
DTEND;TZID=Europe/London:20240306T150000
DTSTAMP:20260506T053138
CREATED:20240126T092133Z
LAST-MODIFIED:20251119T172710Z
UID:305872-1709733600-1709737200@www.pimfa.co.uk
SUMMARY:The PIMFA HR Forum 2024- Session 1
DESCRIPTION:Keeping pace with the shifting landscape of HR issues\, changes in workplace law and upcoming regulation is challenging. The PIMFA HR Forum\, supported by the employment team at Clyde & Co.\, is an engaging\, deep-dive review of the most pressing HR concerns that impact PIMFA member firms. In each quarterly online session\, we tackle real HR issues and collectively provide new perspectives\, ideas and solutions that senior HR\, DEI\, Talent and L&D professionals within Wealth can immediately put into practice.  \n Attendance at The PIMFA HR Forum is FREE to all PIMFA member firms.   \n Please contact The Learning Team to receive updates on The HR Forum  \n  \nThis event will take place ONLINE
URL:https://www.pimfa.co.uk/event/the-pimfa-hr-forum-2024-session-1-3/
CATEGORIES:HR Briefing,Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240306T140000
DTEND;TZID=Europe/London:20240306T150000
DTSTAMP:20260506T053138
CREATED:20250513T144014Z
LAST-MODIFIED:20250513T144141Z
UID:305941-1709733600-1709737200@www.pimfa.co.uk
SUMMARY:The PIMFA HR Briefing 2024- Session 1
DESCRIPTION:The PIMFA HR Briefing\, supported by the employment team at Clyde & Co.\, is an engaging\, deep-dive review of the most pressing HR concerns that impact PIMFA member firms. In each quarterly online session\, we tackle real HR issues and collectively provide new perspectives\, ideas and solutions that senior HR\, DEI\, Talent and L&D professionals within Wealth can immediately put into practice.  \n Attendance at The PIMFA HR Briefing is FREE to all PIMFA member firms.   \n Please contact The Learning Team to receive updates on The HR Briefing
URL:https://www.pimfa.co.uk/event/the-pimfa-hr-forum-2024-session-1/
CATEGORIES:HR Briefing,Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240507T100000
DTEND;TZID=Europe/London:20240507T110000
DTSTAMP:20260506T053138
CREATED:20240325T093228Z
LAST-MODIFIED:20251119T103007Z
UID:308250-1715076000-1715079600@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: Taking the sting out of your next CASS Audit
DESCRIPTION:Preparing and planning for your next CASS audit is a complex\, costly and a time-consuming process. There’s no magic bullet to solve this annual challenge\, but measurable progress can be made to strengthen your framework and controls. \nIn this FREE 60-minute webinar we put three CASS experts under the spotlight to share their key strategies and approaches your firm can take in 2024 to ensure readiness for your next CASS audit. \nKey discussion topics panellists debate include: \n1. How your firm can complete a CASS audit in less time\n2. Why CASS audit fees are rising and what you can do about it\n3. The increasing role and importance of technology in your approach to CASS\n4. What’s the upside of conducting a CASS health check
URL:https://www.pimfa.co.uk/event/pimfa-webinar-taking-the-sting-out-of-your-next-cass-audit/
CATEGORIES:Learning,Webinars
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240514T090000
DTEND;TZID=Europe/London:20240514T123000
DTSTAMP:20260506T053138
CREATED:20231018T084948Z
LAST-MODIFIED:20251119T171238Z
UID:297599-1715677200-1715689800@www.pimfa.co.uk
SUMMARY:The PIMFA CASS Academy 2024
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. \nPlease visit our microsite to find out more \nBOGOF OFFER!!!! \nPlease use Coupon  CASS2024 at checkout for 50% OFF two tickets
URL:https://www.pimfa.co.uk/event/pimfa-cass-academy-2024/
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:20240516T093000
DTEND;TZID=Europe/London:20240516T123000
DTSTAMP:20260506T053138
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
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240521T093000
DTEND;TZID=Europe/London:20240521T123000
DTSTAMP:20260506T053138
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:20240613T110000
DTEND;TZID=Europe/London:20240613T120000
DTSTAMP:20260506T053138
CREATED:20240126T093842Z
LAST-MODIFIED:20250513T143927Z
UID:305939-1718276400-1718280000@www.pimfa.co.uk
SUMMARY:The PIMFA HR Briefing 2024- Session 2
DESCRIPTION:This new duty creates a new risk area for employers\, and adds to the onus on employers to take proactive steps to prevent sexual harassment occurring.  There will be a corresponding new compensation uplift of up to 25%\, for breach of the new duty although the implications of being found not to have complied with it are more likely to be material from a reputational standpoint. \nThe new duty comes hot on the heels of the Treasury Select Committee’s Sexism in the City inquiry and the PRA and FCA’s recent consultations on measures to improve diversity and inclusion and to revamp how firms should manage allegations of non-financial misconduct\, which of course includes sexual misconduct and harassment. \n  \nThis FREE 60-minute session will cover all these latest developments and focus on what HR and legal teams in members firms should be doing to prepare now. \nThis lively and interactive session will consider:   \n\nWhy employers need to continue to take sexual harassment seriously\nThe FCA’s approach to non-financial misconduct\nAnonymity protections which may apply to the complainant automatically where a criminal offence may have been committed\nThe proposed new duty\, how it will apply and the consequences of breach\nProactive steps employers should start to take to prepare for the new duty\n\nBy attending this session\, you will be able to: \n\nUnderstand the legal\, reputational and business risks associated with sexual harassment complaints\nLearn about the FCA’s approach to non-financial misconduct and workplace culture\nAppreciate why firms in the financial services industry must continue to take steps to address and improve workplace culture\nUnderstand what taking proactive steps to prevent sexual harassment means in practice\nHave a route map to take you through all of these changes\n\nWho should attend this session? \nSenior HR\, legal\, DEI\, Talent and L&D professionals within PIMFA member firms
URL:https://www.pimfa.co.uk/event/the-pimfa-hr-forum-2024-session-1-2/
CATEGORIES:HR Briefing,Learning
ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2023/11/Screenshot-2023-01-17-135212.png
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240624T110000
DTEND;TZID=Europe/London:20240624T120000
DTSTAMP:20260506T053138
CREATED:20240509T084403Z
LAST-MODIFIED:20251120T161341Z
UID:309520-1719226800-1719230400@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: 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. \nIn this FRE 60-minute webinar\, our experts unpack: \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-webinar-avoiding-a-culture-of-complacency/
CATEGORIES:Learning,Webinars
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:20240912T110000
DTEND;TZID=Europe/London:20240912T120000
DTSTAMP:20260506T053138
CREATED:20240126T094115Z
LAST-MODIFIED:20251119T172543Z
UID:305945-1726138800-1726142400@www.pimfa.co.uk
SUMMARY:The PIMFA HR Briefing: How Ready Are You for Employment Law Changes?
DESCRIPTION:‘HR Professionals: How Ready Are You for Employment Law Changes?’ \nIn September’s HR Briefing we discuss how two new employment bills the Employment Rights Bill and the Draft Equality (Race and Disability) Bill announced in the Kings speech on 17th July will impact on the world of HR professionals within Wealth firms if they become law. \nOver 60 minutes\, Clyde & Co’s employment team unpack the new Labour Government’s far-reaching workforce reforms\, helping you look at the challenges for your firm both from an operational and implementation perspective. \nKey topic discussions include: \n\nUnderstanding the nature and scope of the proposed reforms in relation to your firm.\nAssess the impact of the proposed reforms on your workforce and firm.\nHow to prioritise your ‘to-do’ list and reduce the risk of getting things wrong.\n\n  \nDon’t miss this opportunity to gain valuable insights and have Chris Holme and Shadia El Dardiry answer your questions. \nRegister HERE to secure your spot!
URL:https://www.pimfa.co.uk/event/the-pimfa-hr-briefing-2024-session-1-2-2/
CATEGORIES:HR Briefing,Learning
ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2023/11/Screenshot-2023-01-17-135212.png
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240916T093000
DTEND;TZID=Europe/London:20240916T123000
DTSTAMP:20260506T053138
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:20240924T183000
DTEND;TZID=Europe/London:20240924T200000
DTSTAMP:20260506T053138
CREATED:20240716T094207Z
LAST-MODIFIED:20251119T173307Z
UID:311650-1727202600-1727208000@www.pimfa.co.uk
SUMMARY:The PIMFA M&A Roundtable Dinner
DESCRIPTION:The PIMFA Mergers and Acquisitions dinner is an opportunity for PIMFA members to gain valuable insight into the current M&A landscape impacting and effecting the sector. M&A experts from Farrer & Co. and Thistle Initiatives provide firm’s with an update on the current deal environment and what we can expect to see over the coming year. \nBenefits for attending: \n1. Hear insights into M&A trends\, how they have changed and what’s expected to drive M&A activity this year.\n2. Learn how to successfully navigate a deal process in the current environment.\n3. Further your knowledge on the key due diligence activities in a merger and acquisition transaction.\n4. Learn why some mergers and acquisitions fail and how to avoid the pitfalls. \nWho should attend: \nThis is an invite only roundtable of PIMFA member firms with the following job titles: \n• CEOs\, managing directors and owners\n• Finance directors and senior managers\n• Finance and commercial team leaders
URL:https://www.pimfa.co.uk/event/the-pimfa-ma-round-table-dinner/
CATEGORIES:Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/08/giuseppe-famiani-akvSk4Kkrgo-unsplash-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241008T100000
DTEND;TZID=Europe/London:20241029T123000
DTSTAMP:20260506T053138
CREATED:20240508T100536Z
LAST-MODIFIED:20251119T173534Z
UID:309494-1728381600-1730205000@www.pimfa.co.uk
SUMMARY:The PIMFA Transaction Reporting Academy Cohort 2 2024
DESCRIPTION: Live\, tutor-led online sessions\, with our partners Kaizen Reporting  \nThe challenge \nAccurate and complete MiFIR transaction reporting is a legal obligation. Yet many financial firms\, even those with significant resources dedicated to this complex requirement\, are falling short of regulatory expectations.  Quality assurance testing by regulatory specialists Kaizen have found that only 13% of MiFID II transactions are reported accurately. \nThe consequences of incorrect reporting are serious and include regulatory scrutiny and sanctions\, as well as the significant cost and resource involved in remediating incorrect reports. \nThe solution \nThe PIMFA Transaction Reporting Academy (TRA) is an innovative\, practical and results-focused learning experience that augments your core reporting skills while deepening your knowledge in key areas of the  MiFIR transaction reporting requirements. \nPlease click here for more information \n\n\n\n1\nOverview and how to report by trading scenarios\n8th October 2024\n10:00 – 12:30\n\n\n2\nTransaction reporting by instrument type\n15th October 2024\n10:00 – 12:30\n\n\n3\nCommon issues & Remediation\n22nd October 2024\n10:00 – 12:30\n\n\n4\nSystems & Controls and Corporate Actions\n29th October 2024\n10:00 – 12:30\n\n\n\n  \n 
URL:https://www.pimfa.co.uk/event/the-pimfa-transaction-reporting-academy-2024-2/
CATEGORIES:Learning,Programmes
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/02/pexels-victor-freitas-1072838-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241009T110000
DTEND;TZID=Europe/London:20241009T120000
DTSTAMP:20260506T053138
CREATED:20240625T101452Z
LAST-MODIFIED:20260310T122806Z
UID:311034-1728471600-1728475200@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: Two years of IFPR – Observations\, Takeaways and Actions!
DESCRIPTION:The FCA still believe that firms subject to IFPR\, can and must improve the implementation of the internal capital adequacy and risk assessment (ICARA) process and reporting requirements under IFPR. Identifying good practices in many firms\, the FCA still found ‘significant failings’ in applying capital models for operational risk. \nIn this FREE 60-minute webinar\, Thistle Initiative’s experts unpack the FCA latest expectations\, highlighting where and how PIMFA member firms must revisit their IFPR implementation and ICARA reporting to ensure the adequacy and operating effectiveness of your ICARA process follows good industry practice \nBy attending this webinar\, you will learn how to: \n\nIdentify areas of improvements in your most recent ICARA document and wind-down plan.\nRecognise instances of poor regulatory data submissions.\nBuild additional rigour around your approach to identifying\, assessing\, and mitigating harms.\nCorrectly forecast liquid asset threshold requirements.\nBuilding in FCA Supervisory Review and Evaluation Process (SREP) resilience into the ICARA.\n\n 
URL:https://www.pimfa.co.uk/event/pimfa-webinar-two-years-of-ifpr-observations-takeaways-and-actions/
CATEGORIES:Learning,Webinars
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/01/Sunset.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241014T093000
DTEND;TZID=Europe/London:20241014T123000
DTSTAMP:20260506T053138
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:20241111T110000
DTEND;TZID=Europe/London:20241111T120000
DTSTAMP:20260506T053138
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:20260506T053138
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
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/02/austin-schmid-hRdVSYpffas-unsplash-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241119T110000
DTEND;TZID=Europe/London:20241119T120000
DTSTAMP:20260506T053138
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
ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2023/11/Screenshot-2023-01-17-135212.png
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241120T093000
DTEND;TZID=Europe/London:20241120T123000
DTSTAMP:20260506T053138
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
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/02/daiga-ellaby-CBJDURrRKA-unsplash-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241126T140000
DTEND;TZID=Europe/London:20241126T150000
DTSTAMP:20260506T053138
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
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/10/iStock-613216824-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250114T110000
DTEND;TZID=Europe/London:20250114T120000
DTSTAMP:20260506T053138
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
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/04/afonso-azevedo-neves-VEJP7CtIhEk-unsplash-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250121T110000
DTEND;TZID=Europe/London:20250121T120000
DTSTAMP:20260506T053138
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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DTSTART;VALUE=DATE:20250128
DTEND;VALUE=DATE:20250129
DTSTAMP:20260506T053138
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:
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DTSTART;TZID=Europe/London:20250128T140000
DTEND;TZID=Europe/London:20250128T170000
DTSTAMP:20260506T053138
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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DTSTART;TZID=Europe/London:20250129T100000
DTEND;TZID=Europe/London:20250129T120000
DTSTAMP:20260506T053138
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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