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DTSTART;TZID=Europe/London:20250128T140000
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DTSTAMP:20260503T211602
CREATED:20241127T083822Z
LAST-MODIFIED:20251113T155816Z
UID:318906-1738072800-1738083600@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Customer Vulnerability: Applying and Implementing PIMFA’s guidance in your firm
DESCRIPTION:Customer vulnerability is a complex area that PIMFA member firms must get right. Ultimately\, it is about identifying customers with vulnerable characteristics and ensuring they consistently experience good outcomes. That’s not as easy as it sounds\, especially when The FCA has made clear that it will apply a vulnerability lens to its ongoing supervisory and enforcement work. \nThis live tutor-led training course delivered by vulnerability experts at the Money Advice Trust\, based on PIMFA’s recently published 160-page guide\, “Understanding Customer Vulnerability”\, supports wealth managers and financial advisors who want to improve how they can: \n\nEmbed a focus on vulnerability into their strategy and culture.\nEnsure they are asking the right questions about the data\, management information\, and data they need to deliver the right outcomes and experiences for customer vulnerability.\nAccount for customer vulnerability in product and service design.\nActively monitor customer behaviour and consider potential vulnerability in customer interactions.\nSupport and enable customers with characteristics of vulnerability to disclose their needs.\nCapturing and retrieving information about vulnerability during subsequent customer interactions\n\nBy enrolling on this course\, you’ll be able to answer with confidence the following questions: \n\nHow do you identify customer vulnerability\, and what criteria do you use for this assessment?\nWhat specific support mechanisms are in place to assist customer vulnerability throughout their interaction with your firm?\nHow do you tailor and test communication strategies to ensure that customers with vulnerable characteristics understand the products and services offered?\nAre your services and communications accessible to all customers\, including those with disabilities or other barriers?\nHow do you monitor the effectiveness of your support for customer vulnerability\, and what metrics do you use?\nWhat procedures do you have in place for escalating the needs of customers with characteristics of vulnerability to senior management or specialised teams?\nHow do you ensure that products and services offered to customers with vulnerable characteristics appropriately meet their needs?\n\nWho Should Attend: \n\nSMF holders who require the knowledge and understanding to promote a culture of awareness and responsiveness to vulnerable clients in line with current and future FCA expectations.\nSales & Marketing Directors tasked with ensuring that the firm’s financial promotions and customer communications don’t exploit vulnerable consumers.\nCompliance and Risk leaders that want a proven framework to better recognise\, assess\, and manage potential risks related to customers with characteristics of vulnerability .\nRegulatory risk professionals and in-house counsel who\, having identified evidence of consumer harm or risk of harm to customers in vulnerable circumstances\, need to develop a remediation strategy to avoid assertive supervisory and enforcement action.\n Internal auditors who wanting to ‘up their firm’s game’ seek to ensure effective monitoring and reporting mechanisms are in place to track how the firm identifies and serves customer vulnerability\, evaluating both the processes and the outcomes.\n\nOffer: Bring your colleague along for free – please enter code 6JZWEFP5 at checkout.
URL:https://www.pimfa.co.uk/event/pimfa-learning-customer-vulnerability-applying-and-implementing-pimfas-guidance-in-your-firm/
CATEGORIES:Learning,Live Learning
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BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250129T100000
DTEND;TZID=Europe/London:20250129T120000
DTSTAMP:20260503T211602
CREATED:20241107T101257Z
LAST-MODIFIED:20260112T171440Z
UID:317985-1738144800-1738152000@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Non-Financial Misconduct: Guidance and Toolkit To Avoid Non Compliance
DESCRIPTION:Whether certain behaviours of individuals working in financial services\, particularly outside of the workplace\, fall under the FCA’s supervision’s remit is much debated; what’s not is the regulator’s belief that ‘non-financial misconduct can amount to a breach of our [FCA] conduct rules’. \nIn this practical\, scenario-based\, in-person training session\, delivered by regulatory and employment lawyers who have dealt with non-financial misconduct issues firsthand\, you’ll learn how to navigate the challenges of investigating NFM in your firm\, understand when NFM might breach the conduct rules and assess the impact of NFM on the fit and proper assessment. \nImmediately after the training\, you will receive a zip folder of key resources and checklists referred to in the training session which you can use to help you enhance your policies\, processes\, and practices around NFM. \nAttending this session and leveraging the resources will give you the knowledge and confidence to: \n1. Ready your firm for anticipated new rules on NFM.\n2. Align your firm’s whistle-blowing policy\, reporting process and procedure to the regulators expectations\n3. Recognise and escalate NFM incidents appropriately\n4. Manage NFM incidents\n5. Ensure regular communications between the HR and compliance teams to deal with and manage NFM incidents\n6. Assess what may amount to ‘serious’ misconduct\n7. Accurately record NFM incidents\n8. Understand when NFM should be reported to the FCA \nWhat you’ll cover in the session: \n– Overview of Non-Financial Misconduct (NFM)\n– FCA’s Stance on Non-Financial Misconduct\n– Regulatory Framework and Guidelines\n– Compliance Obligations for PIMFA member firms\n– Key Responsibilities of Senior Managers\n– Reporting and Documentation Requirements\n– Implementing Effective Policies and Procedures\n– Approaches to creating a Positive Organisational Culture\n– Establishing Clear Conduct Standards\n– Training and Awareness Programs\n– Monitoring/measuring culture\n– Whistleblowing\, complaints handling and investigations\n– Discipline for NFM\n– Regulatory references\n– Reporting to the FCA\n– Interactive Case Studies of Non-Financial Misconduct in Financial Services\n– Lessons Learned from Past Incidents\n– Best Practices for Mitigating Non-Financial Misconduct\n– Successful Strategies from Leading Firms\n– Continuous Improvement and Learning\n– Monitoring and assessments\n– Q&A Session \nWho Should Attend: \n• Compliance and Conduct leaders seeking guidance on how to:\n– Deal with allegations of non-financial misconduct\n– Recognise whether NFM is an isolated incidence or an indicator of a wider culture issue \n• HR leaders who want to ready their firm’s response for new FCA rules and guidance\, including the impact NFM could have on remuneration and how NFM should be dealt with in a regulatory reference. \n• In-house counsel who seek assurance of when and how to respond to allegations of non-financial misconduct. \nThis training course will take place IN PERSON at the DAC Beachcroft London Office located at 25 Walbrook\, London EC4N 8AF \n  \nBring a colleague along for free! \nUse VOUCHER CODE  BG3N8AKH at checkout to claim this buy-one-get-one-free offer! \n  \nThis voucher can only be used when purchasing 2 full price tickets
URL:https://www.pimfa.co.uk/event/pimfa-learning-non-financial-misconduct-guidance-and-toolkit-to-avoid-non-compliance/
CATEGORIES:Learning,Live Learning
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BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250210T093000
DTEND;TZID=Europe/London:20250210T123000
DTSTAMP:20260503T211602
CREATED:20241213T130137Z
LAST-MODIFIED:20251120T162331Z
UID:319585-1739179800-1739190600@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Training: Operational Resilience Self-Assessment: Writing and preparing your document to meet the FCA’s March 2025 deadline
DESCRIPTION:Are you ready to demonstrate operational resilience by 31 March 2025? \nBe under no illusion your firm’s Operational Resilience Self-Assessment document will be the first item the FCA requests to see when assessing your firm’s ability to deliver important business services throughout operational disruptions such as cyber-attacks\, technology failures or third-party disruptions. \nAnd with the FCA’s deadline of 31st March 2025 fast approaching for boards of enhanced SMCR firms to review and approve their written self-assessment\, now is the time to ensure this essential document demonstrates to the regulator your firm’s ability to prevent\, adapt to\, respond to\, and recover from disruptions. \nHelping you get your report right first time \nIn this live\, tutor-led online course\, Richard Preece\, Chair of PIMFA’s Operational Working Group\, assists you to avoid the pitfalls firms make when drafting your self-assessment\, ensuring that you can: \n1. Clearly articulate the FCA expectations for your firm’s operational resilience self-assessments\, including the required elements (important business services\, impact tolerances\, mapping\, scenario testing\, lessons learned\, vulnerabilities\, and communication strategy). You will receive guidance on the size and level of detail of the Self-Assessment document that’s proportionate to your firm’s activities. \n2. Construct a comprehensive self-assessment document that effectively demonstrates your firm’s full compliance with the regulation. This includes understanding the appropriate format\, size\, and content of the document. Time on the course has been allocated to provide guidance on addressing challenges like proportionality\, consumer harm mitigation\, and justification of methodologies. \n3. Identify and effectively manage key challenges associated with operational resilience\, particularly those relating to outsourcing (both intra-group and third-party)\, and 4th parties. Through case studies and examples\, your trainer will offer practical solutions and best practices to mitigate third-party risks. \n4. Implement a process for regularly reviewing and updating the self-assessment document to reflect changes in the business\, market conditions\, and lessons learned. Your trainer will emphasise the nature of the self-assessment and strategies for ongoing maintenance and governance. \n5. Follow a proven plan to enhance the sophistication of the self-assessment process over time\, improving the maturity of your firm’s operational resilience practices. The course will assist you in making progressive improvements in mapping\, scenario testing\, and vulnerability remediation\, particularly when there is a significant change to the business. \nWho should attend this course? \n• Board members who have questions or doubts about their firm’s Self-Assessment seek assurances that ‘nothing has been missed’ before approval is given. \n• Senior Managers\, typically the SMF24\, who\, in updating the firm’s self-assessment\, seeks to articulate how the firm plans to address the vulnerabilities to remain within the set impact tolerances in line with FCA expectations. \n• Heads of Operational Risk and Compliance looking to benchmark with their peers how their firm evidences the effects of disruptions and ensure financial stability. \nBring a colleague along for free!  \nUse voucher code XCEMPQ5U at checkout for 50% 2 tickets!
URL:https://www.pimfa.co.uk/event/pimfa-live-online-training-operational-resilience-self-assessment-writing-and-preparing-your-document-to-meet-the-fcas-march-2025-deadline/
CATEGORIES:Learning,Live Learning
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BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251014T093000
DTEND;TZID=Europe/London:20251014T113000
DTSTAMP:20260503T211602
CREATED:20250729T133105Z
LAST-MODIFIED:20251106T150536Z
UID:333551-1760434200-1760441400@www.pimfa.co.uk
SUMMARY:Getting Financial Promotions Right in a Post Consumer Duty ERA
DESCRIPTION:PIMFA member firms take note. \nIn 2024\, the FCA identified and intervened against around 20\,000 non-compliant financial promotions from authorised firms and has recently deployed new technology to shut down or block 1\,600 websites promoting financial services without permission taking action against influencers (“finfluencers”) for illegal promotions. \nIn the Consumer Duty era\, the FCA expects your firm to go beyond ensuring that all your promotions are ‘clear\, fair and not misleading’ and actively challenging your firm to achieve good outcomes for all customers\, especially the vulnerable. But what does that mean in practice? \nIn this online training session\, you will examine good and bad examples of recent promotional campaigns and assess potential non-compliance with your current and future campaigns. By improving your grasp of good practice\, you will be better prepared to protect your firm\, brand reputation\, and competitive advantage and respond rapidly to unexpected\, consequential events. \nOver two hours\, Ocorian’s Abi Reilly will help you: \n\nAssess the potential risks of your marketing and financial promotions and strengthen your approach against the latest FCA guidance.\nMitigate the threat of non-compliance with current and future changes in financial promotion regulations using a proven process\nEnsure your approach to social media and customer communications doesn’t attract the wrong kind of attention.\nEnhance the review and approval process for financial promotions in line with proposed new anti-greenwashing rules.\nUpdate your social media and influencer marketing governance\, policies\, and contracts with ‘finfluencers’ and agencies to stop consumer harm.\n\nWho should attend \n\nCompliance and legal\nMarketing\nProduct Development\nSenior managers responsible for the marketing activities of the firm\n\n*You may bring along a colleague FREE to this course\, please book 2 places and use code 8prbx3da at checkout for 50% off.
URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-getting-financial-promotions-right-in-a-post-consumer-duty-era/
CATEGORIES:Learning,Live Learning
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LOCATION:https://www.pimfa.co.uk/event/pimfa-live-online-learning-getting-financial-promotions-right-in-a-post-consumer-duty-era/
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DTSTART;TZID=Europe/London:20251106T093000
DTEND;TZID=Europe/London:20251106T113000
DTSTAMP:20260503T211602
CREATED:20250724T082233Z
LAST-MODIFIED:20250916T115747Z
UID:332873-1762421400-1762428600@www.pimfa.co.uk
SUMMARY:Market Abuse 2025 refresher for Wealth Managers
DESCRIPTION:The FCA continues to focus on market abuse\, and its messages and publications indicate that it is not looking to turn the heat down anytime soon. \nThe regulator expects all wealth management firms to have a deep understanding of their market abuse risk and build control frameworks that are both proportionate and effective. However\, recent market abuse reviews by Ocorian’s Regulatory & Compliance  practice indicate that they are struggling to properly assess\, understand\, and articulate the specific market abuse risks inherent in their business. \nIn this live\, two-hour interactive\, online training course  Ocorian consultants reveal how wealth firms can effectively meet their obligations to detect and prevent market abuse\, from setting adequate surveillance frameworks to ensuring they have appropriate governance arrangements in place. \nBy attending this two-hour refresher session\, you will be able to: \n\nGrasp what the FCA expects from you to prevent market abuse in 2025\nUnderstand where wealth firms fall short of FCA expectations\nRecognise and address common market abuse risk areas in your firm\nImprove your monitoring ongoing compliance risk\n\nAs with all our PIMFA live online learning sessions\, we provide ‘surgery’ time at the end of this session with the trainer to support you applying what you’ve learnt immediately back into your firm. \n*You may bring along a colleague FREE to this course\, please book 2 places and use code 9qwytrsu at checkout for 50% off.
URL:https://www.pimfa.co.uk/event/pimfa-live-learning-market-abuse-2025-refresher-for-wealth-managers-2025/
CATEGORIES:Learning,Live Learning
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LOCATION:https://www.pimfa.co.uk/event/pimfa-live-learning-market-abuse-2025-refresher-for-wealth-managers-2025/
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251113T000000
DTEND;TZID=Europe/London:20251113T000000
DTSTAMP:20260503T211602
CREATED:20230328T181526Z
LAST-MODIFIED:20251113T155051Z
UID:273441-1762992000-1762992000@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Consumer Duty Series - Session 3: MI\, Reporting and Governance
DESCRIPTION:With fundamental regulatory change like the introduction of the Consumer Duty\, the problem for firms both large and small often isn’t with planning – many strategies are well developed – but with execution. The Consumer Duty series tackles the implementation of Consumer Duty head-on to provide PIMFA member firms with a well-structured approach for Project Leads\, Compliance & Risk Heads alongside Senior Managers to confidently meet the July deadline. \nYou will return from each of the three sessions with a set of tools and approaches you can use to: \n\n\n\nImprove your ability to organise\, manage\, and prioritise the key requirements of the Duty\nAnticipate and avoid pitfalls that could derail your project plan.\nRespond to FCA’s latest announcements and instructions.\nAddress your firm’s most critical Consumer Duty issues.\nFeedback and answers to your Consumer Duty execution challenges\n\n\n\nSession Three: MI\, Reporting and Governance \nThe Consumer Duty expects firms to monitor and regularly review the outcomes that customers are experiencing\, identify sources of poor outcomes and harm\, and make necessary changes to products and services.  Boards are expected to oversee the implementation of the Duty\, and to annually confirm their firm’s adherence to the rules.  Firms must develop their own reporting and governance structures to achieve this. \nThis session (that you can attend in person or online) will focus on: \n\n\n\nHow firms can develop Consumer Duty MI\, reporting and governance that covers the appropriate products\, services\, touch points and customer types for their unique activities.\nHow the Board can demonstrate that making good outcomes for consumers is central to their firm’s culture\, strategy and business objectives.\n\n\n\nBy the end of this session\, you will: \n\n\n\nGet clarity on the different data to be collected across each of the key Consumer Duty outcomes\nIdentify and bridge gaps in your MI\nDevelop actionable and understandable MI\, that meets regulator expectations\nConsumer Duty obligations will require different data to be collected across each of the key Consumer Duty outcomes\nLearn\, from our own research\, how firms intend to use MI to evidence good consumer outcomes\nKnow how to join the data dots up between different areas of your business to form a coherent Board report\n\n\n\nFormat and approach \nYou can attend this two-hour in-person session at the PwC London office or online. However you choose to participate\, this session is run as an interactive learning experience that brings the research and experience of the PwC Wealth Management team together with senior managers who want to strengthen their firms’ approach to Consumer Duty implementation. In this online workshop\, you will be broken into smaller discussion groups to work through exercises\, discuss scenarios and collaborate with your peers on solutions to overcome even your most challenging execution obstacles.
URL:https://www.pimfa.co.uk/event/cdsession3/
CATEGORIES:Learning,Live Learning
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BEGIN:VEVENT
DTSTART;TZID=Europe/London:20251113T000000
DTEND;TZID=Europe/London:20251113T000000
DTSTAMP:20260503T211602
CREATED:20251113T160734Z
LAST-MODIFIED:20251120T133237Z
UID:268091-1762992000-1762992000@www.pimfa.co.uk
SUMMARY:PIMFA Learning: PwC Consumer Duty Series- Session 1: Testing consumer outcomes
DESCRIPTION:The Duty requires firms to help customers achieve good outcomes\, and to report on this annually. Consequently\, firms must be able to measure if they are achieving good outcomes for their customers. \nThis workshop will focus on: \n• Helping firms consider the design considerations for testing each of the four outcomes.\n• Considering what data will be required for monitoring and testing outcomes.\n• Considering what actions may be required to remediate poor outcomes.
URL:https://www.pimfa.co.uk/event/pimfa-learning-pwc-consumer-duty-series-session-1-testing-consumer-outcomes/
CATEGORIES:Learning,Live Learning
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