BEGIN:VCALENDAR VERSION:2.0 PRODID:-//PIMFA - Building Personal Financial Futures - ECPv6.17.2//NONSGML v1.0//EN CALSCALE:GREGORIAN METHOD:PUBLISH X-WR-CALNAME:PIMFA - Building Personal Financial Futures X-ORIGINAL-URL:https://www.pimfa.co.uk X-WR-CALDESC:Events for PIMFA - Building Personal Financial Futures REFRESH-INTERVAL;VALUE=DURATION:PT1H X-Robots-Tag:noindex X-PUBLISHED-TTL:PT1H BEGIN:VTIMEZONE TZID:Europe/London BEGIN:DAYLIGHT TZOFFSETFROM:+0000 TZOFFSETTO:+0100 TZNAME:BST DTSTART:20220327T010000 END:DAYLIGHT BEGIN:STANDARD TZOFFSETFROM:+0100 TZOFFSETTO:+0000 TZNAME:GMT DTSTART:20221030T010000 END:STANDARD BEGIN:DAYLIGHT TZOFFSETFROM:+0000 TZOFFSETTO:+0100 TZNAME:BST DTSTART:20230326T010000 END:DAYLIGHT BEGIN:STANDARD TZOFFSETFROM:+0100 TZOFFSETTO:+0000 TZNAME:GMT DTSTART:20231029T010000 END:STANDARD BEGIN:DAYLIGHT TZOFFSETFROM:+0000 TZOFFSETTO:+0100 TZNAME:BST DTSTART:20240331T010000 END:DAYLIGHT BEGIN:STANDARD TZOFFSETFROM:+0100 TZOFFSETTO:+0000 TZNAME:GMT DTSTART:20241027T010000 END:STANDARD BEGIN:DAYLIGHT TZOFFSETFROM:+0000 TZOFFSETTO:+0100 TZNAME:BST DTSTART:20250330T010000 END:DAYLIGHT BEGIN:STANDARD TZOFFSETFROM:+0100 TZOFFSETTO:+0000 TZNAME:GMT DTSTART:20251026T010000 END:STANDARD BEGIN:DAYLIGHT TZOFFSETFROM:+0000 TZOFFSETTO:+0100 TZNAME:BST DTSTART:20260329T010000 END:DAYLIGHT BEGIN:STANDARD TZOFFSETFROM:+0100 TZOFFSETTO:+0000 TZNAME:GMT DTSTART:20261025T010000 END:STANDARD END:VTIMEZONE BEGIN:VEVENT DTSTART;TZID=Europe/London:20251113T000000 DTEND;TZID=Europe/London:20251113T000000 DTSTAMP:20251120T133237Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. 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 END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20251113T000000 DTEND;TZID=Europe/London:20251113T000000 DTSTAMP:20251113T155051Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. 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:20251106T093000 DTEND;TZID=Europe/London:20251106T113000 DTSTAMP:20250916T115747Z CREATED:20250724T082233Z LAST-MODIFIED:20250916T115747Z UID:332873-1762421400-1762428600@www.pimfa.co.uk SUMMARY:Market Abuse 2025 refresher for Wealth Managers DESCRIPTION:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-live-learning-market-abuse-2025-refresher-for-wealth-managers-2025/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/png:https://www.pimfa.co.uk/wp-content/uploads/2025/06/PIMFA-links_avatar_green-1.png LOCATION:https://www.pimfa.co.uk/event/pimfa-live-learning-market-abuse-2025-refresher-for-wealth-managers-2025/ END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20251014T093000 DTEND;TZID=Europe/London:20251014T113000 DTSTAMP:20251106T150536Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. 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:20250210T093000 DTEND;TZID=Europe/London:20250210T123000 DTSTAMP:20251120T162331Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. 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:20250129T100000 DTEND;TZID=Europe/London:20250129T120000 DTSTAMP:20260112T171440Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-learning-non-financial-misconduct-guidance-and-toolkit-to-avoid-non-compliance/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/08/grant-ritchie-rVbl6qgDPa8-unsplash-scaled.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20250128T140000 DTEND;TZID=Europe/London:20250128T170000 DTSTAMP:20251113T155816Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-learning-customer-vulnerability-applying-and-implementing-pimfas-guidance-in-your-firm/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/11/adrien-vin-sLHZrCQumXw-unsplash-scaled.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20241120T093000 DTEND;TZID=Europe/London:20241120T123000 DTSTAMP:20251113T161811Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. 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:20241014T093000 DTEND;TZID=Europe/London:20241014T123000 DTSTAMP:20251113T162308Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-live-online-training-mastering-fair-value-assessments-aligning-with-consumer-duty-standards/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/02/jan-huber-4OhFZSAT3sw-unsplash-scaled.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20240916T093000 DTEND;TZID=Europe/London:20240916T123000 DTSTAMP:20251120T161018Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-financial-crime-business-wide-risk-assessment-the-key-to-getting-it-right/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/09/lake-404797_1280.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20240521T093000 DTEND;TZID=Europe/London:20240521T123000 DTSTAMP:20251120T162353Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-live-online-training-reputation-risk-masterclass-series/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/06/pexels-kammeran-gonzalezkeola-7925914-scaled.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20240516T093000 DTEND;TZID=Europe/London:20240516T123000 DTSTAMP:20251113T161634Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-masterclass-how-to-prepare-write-and-review-your-first-consumer-duty-board-report/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/02/aaker-gFmBquOaFDE-unsplash-1-scaled.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20240227T093000 DTEND;TZID=Europe/London:20240227T123000 DTSTAMP:20251113T161938Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-product-governance-what-does-good-look-like-under-consumer-duty/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/02/ken-cheung-KonWFWUaAuk-unsplash-scaled.jpg END:VEVENT BEGIN:VEVENT DTSTART;VALUE=DATE:20240206 DTEND;VALUE=DATE:20240207 DTSTAMP:20260605T110335Z CREATED:20231025T083851Z LAST-MODIFIED:20260605T110335Z 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:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/authentic-leadership-how-to-thrive-as-a-female-leader-in-wealth-and-finance-2024/ LOCATION:See description for details CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/08/pexels-pixabay-461593-scaled.jpg END:VEVENT BEGIN:VEVENT DTSTART;VALUE=DATE:20231102 DTEND;VALUE=DATE:20231103 DTSTAMP:20251119T163809Z CREATED:20230502T091415Z LAST-MODIFIED:20251119T163809Z UID:277353-1698883200-1698969599@www.pimfa.co.uk SUMMARY:Reinforcing Customer Centricity: How Your Firm Can By July 2023\, Meet The Exacting Standards Customer Support And Consumer Understanding Under Consumer Duty DESCRIPTION:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/reinforcing-customer-centricity-how-your-firm-can-by-july-2023-meet-the-exacting-standards-customer-support-and-consumer-understanding-consumer-duty/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2025/06/800x800_hotairballoon_colour.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20230608T133000 DTEND;TZID=Europe/London:20230608T153000 DTSTAMP:20251113T162052Z CREATED:20230331T083615Z LAST-MODIFIED:20251113T162052Z UID:273748-1686231000-1686238200@www.pimfa.co.uk SUMMARY:PIMFA Live Online Learning: T&C under Consumer Duty: What You Need to Know Session 2 DESCRIPTION:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-tc-under-consumer-duty-what-you-need-to-know-2/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/02/pexels-victor-freitas-847485-scaled.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20230530T093000 DTEND;TZID=Europe/London:20230530T113000 DTSTAMP:20251120T135751Z CREATED:20230328T180244Z LAST-MODIFIED:20251120T135751Z UID:268128-1685439000-1685446200@www.pimfa.co.uk SUMMARY:PIMFA Learning: PwC Consumer Duty Series- Session 3: MI\, reporting and governance DESCRIPTION:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/cdsession3-2/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2022/10/freezydreamin-SV3V-D1G2q4-unsplash-scaled.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20230525T133000 DTEND;TZID=Europe/London:20230525T153000 DTSTAMP:20251120T133122Z CREATED:20230307T093018Z LAST-MODIFIED:20251120T133122Z UID:268082-1685021400-1685028600@www.pimfa.co.uk SUMMARY:PIMFA Live Online Learning: T&C under Consumer Duty: What You Need to Know DESCRIPTION:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-tc-under-consumer-duty-what-you-need-to-know/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/02/pexels-victor-freitas-847485-scaled.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20230523T093000 DTEND;TZID=Europe/London:20230523T113000 DTSTAMP:20251113T154818Z CREATED:20230328T174756Z LAST-MODIFIED:20251113T154818Z UID:273411-1684834200-1684841400@www.pimfa.co.uk SUMMARY:PIMFA Learning: Consumer Duty Series - Session 2: Engaging with Third Parties DESCRIPTION:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/cdsession2/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2022/10/Sea-wave.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20230503T093000 DTEND;TZID=Europe/London:20230503T113000 DTSTAMP:20251120T133517Z CREATED:20230328T175741Z LAST-MODIFIED:20251120T133517Z UID:268119-1683106200-1683113400@www.pimfa.co.uk SUMMARY:PIMFA Learning: Consumer Duty Series - Session 1: Practical Strategies & Approaches For Testing Consumer Outcomes DESCRIPTION:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/cdsession1/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2022/10/Sea-wave.jpg END:VEVENT BEGIN:VEVENT DTSTART;TZID=Europe/London:20230427T093000 DTEND;TZID=Europe/London:20230427T123000 DTSTAMP:20251120T132313Z CREATED:20230216T115733Z LAST-MODIFIED:20251120T132313Z UID:266117-1682587800-1682598600@www.pimfa.co.uk SUMMARY:PIMFA Online Training Course: Meeting Your Clients ESG Needs under Consumer Duty – Principles and Practices Your Advisor Population Need To Know And Adopt DESCRIPTION:Since 1 September 2026\, the FCA’s expanded Conduct Rules scope for non-bank firms covers serious work-related bullying\, harassment and violence against colleagues. Firms need to understand when an allegation raises regulatory questions as well as employment issues. \n \n \n \n Who investigates?What evidence do you secure?How do you reach a fair decision when accounts conflict or someone resigns?  Join employment and financial services regulatory lawyers from Latham Watkins for a practical\, 90-minute session following a non-financial misconduct (NFM) investigation from first report to final decision. Through worked examples and discussion\, explore how to test evidence\, handle difficult interviews and document conclusions that stand up to challenge. Examine how HR and Compliance should work together\, while keeping investigation findings\, disciplinary decisions and regulatory assessments distinct. \n \n \n \n \n\n\n\n\n\n \n \n By the end of the session\, you’ll be better equipped to: \n \n \n \n  Make the first call: triage an allegation\, support those involved and identify urgent evidence and escalation needs without prejudging the outcome.Set the scope: choose an investigator\, manage conflicts and agree proportionate terms of reference.Test the evidence: plan interviews\, assess conflicting accounts and handle reluctant witnesses or incomplete information.Handle difficult turns: respond when a senior person is implicated\, someone resigns or new evidence emerges. Reach a defensible decision: distinguish findings from assumptions and record the evidence\, reasoning and limitations. Recognise regulatory implications: identify when separate Conduct Rules or fitness and propriety assessments are needed\, and consider reporting and regulatory references. Who it’s for: HR\, Compliance\, Risk\, Legal and senior managers at PIMFA member firms who commission\, conduct or oversee NFM investigations. \n \n\n\n\n \n \n \n\n\n\n\n \n \n \n\n\n\n\n\n \n \n Bring a colleague along for free \n \n \n \n Bring HR and Compliance together to work through the same scenarios\, clarify responsibilities and build a shared approach to handling investigations. Add two tickets to your basket and Use coupon PQWJVZRR at checkout for 50% off. \n \n\nTrainers:\n\n \n \n \n\n\n\n\n \n \n \n \n \n \n \n \n \n \n \n Helen (Nell) Perks\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Nell Perks represents leading financial institutions in a wide range of disputes and contentious regulatory investigations\, frequently with an international element. \nShe leverages her comprehensive understanding of the challenges that financial institutions face and extensive experience across the spectrum of financial services litigation — including complex and structured products disputes. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Rob Moulton\n Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Rob Moulton is a partner in the London office of Latham & Watkins. Rob specialises in providing financial services regulatory advice to investment banks\, fund managers\, insurers\, retail asset managers\, and online trading business on a variety of legal and regulatory risk management matters. \n Rob has particular expertise in the FCA’s Conduct of Business Rules\, European regulatory developments such as MiFID and MAR\, and supervisory and enforcement actions. \nHe is recognized in the Hall of Fame in Legal 500\, and Band 1 in Chambers UK\, for financial services non-contentious regulatory. \n\n \n \n \n \n\n\n \n \n \n \n \n \n \n \n \n \n \n Charlie Bowden\n Employment Partner\n \n Latham & Watkins \n \n \n \n \n \n \n Bio \n Charlie Bowden advises clients on all aspects of UK employment law\, particularly in the context of global M&A activity. \nCharlie guides the full spectrum of market participants — including corporates\, banks\, asset managers\, private equity funds and their portfolio companies\, hedge funds\, and lenders — on the employment law aspects of their most transformative transactions and strategic employment matters. \nIn addition to transactional work\, he advises clients on both contentious and non-contentious employment law matters. URL:https://www.pimfa.co.uk/event/pimfa-online-training-course-meeting-your-clients-esg-needs-under-consumer-duty-principles-and-practices-your-advisor-population-need-to-know-and-adopt/ CATEGORIES:Learning,Live Learning ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2023/02/mohamed-nohassi-odxB5oIG_iA-unsplash-scaled.jpg END:VEVENT END:VCALENDAR