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Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world. Bringing together a high-level audience who can engage with the experts, this conference will facilitate fruitful discussions with opportunity for questions and networking. …
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£275.00 – £630.00
Date & Time: 25th Sep 2025 (10:00 - 18:00)
CPD: TBC
Location: Hybrid
PIMFA’s monthly Wealth Management Financial Crime Compliance Learning Programme ensures senior managers, MLRO/DMLOs, Heads of Compliance, compliance officers and legal professionals don’t just keep up to date with key changes and regulatory deadlines, but develop the clarity, direction and insight they need to design an effective and efficient anti-financial crime control framework that protects their firm, creates value and enhances revenue opportunities. …
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£695.00 – £895.00
Date & Time: 12th Nov 2025 (0:00) - 11th Nov 2026 (0:00)
CPD: 12
Location: Virtual
Live, tutor-led online sessions, with our partners Kaizen Reporting The challenge Accurate 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. The consequences of incorrect reporting are…
£2,025.00 – £3,000.00
Date & Time: 27th Feb 2024 (10:00) - 26th Mar 2024 (12:00)
CPD: 6
Location: In Person
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. Taking…
Date & Time: 04th Mar 2024 (16:00 - 19:00)
Location: In Person
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. The PIMFA CASS Clients Academy is a unique learning experience for…
£2,750.00 – £3,250.00
Date & Time: 14th May 2024 (9:00 - 12:30)
CPD: 18
Location: In Person
Live, tutor-led online sessions, with our partners Kaizen Reporting The challenge Accurate 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. The consequences of incorrect reporting…
£2,500.00 – £3,000.00
Date & Time: 08th Oct 2024 (10:00) - 29th Oct 2024 (12:30)
CPD: 10
Location: In Person
PIMFA’s SMF (Senior Managers Function) Regulatory Briefing Programme is a 12-month online leadership programme for time-strapped senior managers who need to cut through the regulatory noise and grasp, from a senior leader's perspective, how to better measure, manage, and monitor compliance and regulatory risks within their firm. …
£595.00 – £850.00
Date & Time: 28th Jan 2025 (0:00 - 23:59)
CPD: 12
Location: Virtual
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. …
£1,250.00 – £1,500.00
Date & Time: 20th May 2025 (9:00) - 21st May 2025 (17:00)
CPD: 15
Location: In Person