The Personal Investment Management & Financial Advice Association (PIMFA)

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Membership Benefits

PIMFA offers a myriad of membership benefits, from representing members and promoting the value of our industry, to providing expert knowledge and information with practical support and tools....

PIMFA's areas of focus and output across our focus areas and member groups....

PIMFA Groups consist of committees, forums and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues such...

PIMFA provides the methodology for the MSCI PIMFA Private Investor Index Series and Equity Risk Index Series....

PIMFA PLUS offers our full and associate member firms a suite of valuable services and curated products at bespoke rates from specialised partners that work with PIMFA....

Events & Learning

Connect, collaborate, and celebrate with PIMFA Events, and elevate your expertise with PIMFA Learning Events....

Constructive Advocacy

PIMFA champions our members to key stakeholders such as regulators, policymakers, business leaders, media and consumers....

Creating Connections

PIMFA are adept at facilitating cross-industry collaboration by gathering professionals from every corner of the industry....

Supporting Practice

PIMFA are dedicated to providing hands-on guidance and practical support to our members on the wide-ranging issues across regulatory compliance and policy. ...

Regulatory Policy and Compliance

Ensuring firms adhere to rules, guidelines, and regulations, maintaining market integrity and consumer protection....

Consumer Duty requires firms to act in the best interests of customers, ensuring fair outcomes and clear communication....

Customer Vulnerability

Where consumers may be more susceptible to harm, requiring firms to provide fair treatment, support, and tailored services....

Culture & Inclusion

Find out more to see how PIMFA is committed to promoting culture and inclusion in our industry....

Data Protection

Safeguarding data through secure processing, compliance with regulations, transparency, and preventing misuse or unauthorised access....

Financial Crime

Protecting against activities like fraud, money laundering, and market abuse, threatening financial system integrity and consumer protection....

Financial Services Compensation Scheme

The UK’s statutory compensation scheme for customers of UK authorised financial services firms. It can step in to pay compensation if a firm is unable, or likely to be unable,...

Future of Advice

Evolving financial advice models, ensuring accessibility, affordability, and consumer protection in changing markets....

Markets in Financial Instruments Directive/Regulation (MiFID/MIFIR)

Regulation to enhance financial markets transparency, investor protection, and improving trading practices across financial sectors....

The increasingly complex pension landscape for firms as they navigate a changing regulatory environment....

Product Disclosure

PRIIPs (Packaged Retail and Insurance-based Investment Products) ensuring transparent, standardised information for retail investors on investment products....

Senior Managers Certification Regime (SMCR)

SMCR (Senior Managers and Certification Regime) ensures accountability, clarifies roles, and enhances individual responsibility within financial services firms....

Sustainable Finance and ESG

Integrating environmental, social, and governance factors into investment decisions to promote long-term positive impact....

Managing relationships with stakeholders, including government, regulators, and the public, to help shape policy and regulatory outcomes....

Regulatory Insights Tracker

This biannual survey of PIMFA member firms seeks to capture the real-world impact of regulation and the wealth management and financial planning sector....

Our Agenda for Government

Our policies and goals for creating a UK culture of thriving financial health....

Parliamentary Support

Collaborating with legislators to shape the future of financial regulation....

UK Private Banking and Wealth Management

This paper outlines how the private banking and wealth management (PBWM) sector contributes to the UK’s economy, and how the Government can further enable the sector to support national growth...

Firm’s internal processes, systems, and controls, ensuring efficient, secure, compliant, and resilient operational functions....

Artificial Intelligence

Technology using algorithms and data to enhance decision-making, improve efficiency, and manage risks....

Client Assets Sourcebook (CASS)

CASS (Client Assets Sourcebook) rules ensuring firms safeguard and properly handle client assets and funds....

Protecting financial firms' systems, data, and customers from cyber threats through resilience, risk management, and regulatory compliance....

The use of technology to enhance shareholder engagement, communication, and information access in financial markets....

Operational Resilience

The ability to prevent, respond to, and recover from disruptions, ensuring continuous services....

T+1 Accelerated Settlement

Transitioning to a new UK settlement cycle where financial transactions are completed one business day after the trade date....

Compliance with tax laws and promoting transparency....

Trading and Settlement

Processes involving buying, selling, and transferring ownership of financial instruments, ensuring transparency and efficiency....

Transaction Reporting

The obligation for firms to report details of financial transactions to ensure market transparency and integrity....

PIMFA Wealthtech

PIMFA's FinTech platform and digital marketplace created to drive innovation and enhance collaboration between FinTechs and the wealth management and financial advice sector....

PIMFA Groups consist of committees, forums, briefings and working groups for our member firms to discuss and examine key topics within our industry....

PIMFA’s Committees are a place for decision and action. They focus on deciding PIMFA’s strategies and work plans; agree positions and campaigns; and outputs from these add value to...

Forums and Briefings

PIMFA’s Forums & Briefings are available to all members and provide updates on recent activities and announcements from the PIMFA team and provide behind-the-scenes details on initiatives and policy and...

PIMFA’s Working Groups are a place for members to discuss projects, consultations, publications and campaigns in relevant policy areas....

Advisers’ Sustainability Group

Industry-led working group to focus on enhancing sustainable finance capabilities within the financial advice sector....

DFM Connect is a group of authorised firms providing discretionary investment management services to financial advisers and their clients....

Leading Lights Forum

The PIMFA Leading Lights Forum brings together talented young people from across our member firms who conduct primary research focusing on current hot topics impacting us all across our industry....

UK Platform Group

An independent group of retail platforms working together to drive positive change. Run by platform firms, for platform firms....

See a range of Guides to support our member firms covering different topics....

Thought Leadership

Engaging with stakeholders to shape policies, providing insights and promoting informed industry discussions....

Response Papers

PIMFA responds on behalf of our membership to regulator and government consultations. We do this via feedback and discussion with member firms via our committees, working groups....

Events & Learning

Connect, collaborate and celebrate with PIMFA Events. From insightful webinars and thought-provoking symposiums to prestigious awards and vibrant networking opportunities, our events bring the wealth management and financial advice community...

Content-rich one day events with packed speaker agendas and cutting edge thought leadership...

Interactive in-person sessions curated to specific delegate cohorts...

Symposium, Awards & Networking

Large scale flagship events cutting across multiple cohorts and disciplines...

See past events....

Elevate your expertise with PIMFA Learning Events - dynamic, industry-focused training designed to empower financial professionals. Stay ahead with cutting-edge insights, practical skills, and networking opportunities tailored for your growth....

Short, deep dive conversations with experts on the topics that matter most to you....

PIMFA Live Learning provides highly interactive, real time sessions led by industry experts, giving participants the opportunity to engage directly, ask questions, and gain practical insights they can apply immediately....

Stay informed of the latest regulatory, compliance & risk issues impacting your firm...

Webinars on Demand

View our past webinars on demand....

PIMFA Learning Programmes

PIMFA Learning provides expert-led courses and resources to help you develop skills and stay compliant in the wealth management and financial advice industry.”...

AI for Wealth Management:

AI is reshaping wealth management, but many advice firms are stuck at the exploration stage. This one-day in-house training course prepares your leaders, managers, and team members to transition from...

PIMFA, in partnership with headline sponsor Grant Thornton, law firm Farrer & Co. and insurers Howden brings together, in a series of dinners, invite-only events, live webinars and podcasts scheduled...

Financial Crime Compliance

PIMFA’s monthly Wealth Management Financial Crime Compliance Learning Programme ensures senior managers, MLRO/DMLOs, Heads of Compliance, compliance officers and legal professionals don’t just keep up to date with key changes...

Short, deep dive conversations with experts on the topics that matter most to you....

Webinars on Demand

View our past webinars on demand....

PIMFA Groups consist of committees, forums and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues such...

PIMFA’s Committees are a place for decision and action. They focus on deciding PIMFA’s strategies and work plans; agree positions and campaigns; and outputs from these add value to...

Forums and Briefings

PIMFA’s Forums & Briefings are available to all members and provide updates on recent activities and announcements from the PIMFA team and provide behind-the-scenes details on initiatives and policy and...

PIMFA’s Working Groups are a place for members to discuss projects, consultations, publications and campaigns in relevant policy areas....

Take an active role in shaping the industry's future. Whether you're looking to attend, sponsor, exhibit, or speak, PIMFA Events offer unparalleled opportunities to connect, share insights, and make an...

Industry Events

Stay informed and engaged with PIMFA's Industry Events. Discover a curated selection of conferences, seminars, workshops, and networking opportunities hosted by industry leaders. Stay ahead of trends, gain fresh insights...

Submit Industry Event

Click here to submit your firm's events....

PIMFA Response Papers

See PIMFA's response papers to key bodies such as UK's regulators and government departments on important key issues. ...

PIMFA Press Releases

Read PIMFA's latest press releases covering our latest updates, news and views of the important topics impacting our industry....

The PIMFA Bulletin is our weekly email update delivering news and current affairs from within and around the industry....

Read PIMFA's thoughts and opinions on industry hot topics in our regular blogs....

Read the latest industry thoughts and opinions from our members in our regular guest blog....

PIMFA’s magazine contains articles and thought leadership on current issues, hot topics and future developments from PIMFA members. Always a thought-provoking read....

Morningstar PIMFA Private Investor Index Series

The Morningstar PIMFA Private Investor Index Series is a set of indices designed to represent the performance of a diversified portfolio of assets that are relevant to private investors....

Current Asset Allocation – Morningstar PIMFA Private Investor Index Series

Each of these portfolios contains different proportions of UK equities, international equities, bonds, cash and alternatives to reflect the investment aims of UK wealth managers. The changes in their values...

Recent/Future Historic Asset Allocations (Private Investor Index Series)

View recent/historic asset allocations for the Morningstar PIMFA Private Investor Index Series. ...

Further Information – Morningstar PIMFA Private Investor Index Series

Further Information – Morningstar PIMFA Private Investor Index Series ...

Morningstar PIMFA Equity Risk Index Series

The Morningstar PIMFA Equity Risk Index Series is a collection of five composite indices designed to mirror the performance of multi-asset strategies employed by UK wealth management firms....

Current Asset Allocation – Morningstar PIMFA Equity Risk Index Series

Each of these portfolios contains different proportions of UK equities, international equities, bonds, cash and alternatives to reflect the investment aims of UK wealth managers. The changes in their values...

Recent/Historic Asset Allocations (Equity Risk Index Series)

See details of recent and historic asset allocation changes to the Morningstar PIMFA Equity Risk Index Series and other useful resources. ...

Further Information Morningstar PIMFA Equity Risk Index Series

Further Information Morningstar PIMFA Equity Risk Index Series ...

PIMFA is the voice of the UK’s personal wealth services sector. PIMFA champions a culture of financial health for all and represents and supports providers of wealth management services, financial...

PIMFA's staff cover a variety of aspects at PIMFA from expert technical guidance to membership support and much more....

PIMFA’s Board governs the workings and strategic direction of PIMFA led by our Chairman, Lord Deben, and CEO, Liz Field. It consists of leading senior figures from a representative...

PIMFA Groups consist of committees, forums, briefings and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues...

PIMFA Plus offers our full and associate member firms a suite of valuable services and curated products at bespoke rates from specialised partners that work with PIMFA....

Advisers' Sustainability Group

PIMFA provide the Secretariat to the FCA's industry-led working group to focus on enhancing sustainable finance capabilities within the financial sector....

DFM Connect is a group of authorised firms providing discretionary investment management services to financial advisers and their clients....

UK Platform Group

An independent group of retail platforms working together to drive positive change. Run by platform firms, for platform firms....

Corporate Social Responsibility/Sustainability

Sustainable Finance & ESG is an area of strategic focus for PIMFA making sure we are championing a high standard for our future....

PIMFA’s annual report is a review of our purpose, activity and key achievements over our membership year which runs from 1st June to 31st May....

PIMFA's membership is on a corporate level. We represent both full and associate member firms. See who our member firms are....

Job opportunities at PIMFA....

Use our online directory to find a PIMFA member firm who can help you manage your money, buy and sell shares and access financial advice....

The Women in Finance Charter

Launched in 2016, The Women in Finance Charter is a HM Treasury initiative that promotes gender balance in financial services by encouraging firms to set targets, report on progress, and...

About Our Industry

Firms within the sector are also changing due to competition, M&A activity, heightened regulatory scrutiny, changing customer expectations, the need to invest in technology, and a talent shortage, which all...

If you are thinking about investing in financial instruments or seeking financial advice you can use our ‘Find a Firm’ service to search for a PIMFA member firm. ...

Protecting Investments

See how you can protect your investments from criminals seeking to abuse the system and how to find reputable, regulated firm....

Frequently Asked Questions

This page contains frequently asked questions about the savings and investment industry. ...

Links which may be useful to you such as regulators, exchanges, trade associations, other resources etc....

PIMFA's membership is on a corporate level. We represent both full and associate member firms. See who our member firms are....

Full members provide a range of financial solutions including wealth management, financial advice and planning and execution services. They assist everyone from individuals and families to charities, pension funds, trusts...

Associate members provide professional services to the PIMFA community....

PIMFA Plus offers our full and associate member firms a suite of valuable services and curated products at bespoke rates from specialised partners that work with PIMFA....

PIMFA Groups consist of committees, forums, briefings and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues...

PIMFA’s Committees are a place for decision and action. They focus on deciding PIMFA’s strategies and work plans; agree positions and campaigns; and outputs from these add value to...

PIMFA’s Working Groups are a place for members to discuss projects, consultations, publications and campaigns in relevant policy areas....

Forums and Briefings

PIMFA’s Forums & Briefings are available to all members and provide updates on recent activities and announcements from the PIMFA team and provide behind-the-scenes details on initiatives and policy and...

Advisers' Sustainability Group

PIMFA provide the Secretariat to the FCA's industry-led working group to focus on enhancing sustainable finance capabilities within the financial sector....

DFM Connect is a group of authorised firms providing discretionary investment management services to financial advisers and their clients....

UK Platform Group

An independent group of retail platforms working together to drive positive change. Run by platform firms, for platform firms....

PIMFA WealthTech

PIMFA Wealthtech develops new concepts and promotes the latest technologies for the benefit of our members....

Use our online directory to find a PIMFA member firm who can help you manage your money, buy and sell shares and access financial advice....

Want to Collaborate?

Get in touch if you would like to collaborate with us in any of these areas. ...

All the details you will need to contact PIMFA....

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Artificial Intelligence

Client Assets Sourcebook (CASS)

Consumer Duty

Culture and Inclusion

Customer Vulnerability

Cyber Security

Data Protection

Dematerialisation

Financial Crime

Financial Services Compensation Scheme

Future of Advice

Indices

Investment

Markets in Financial Instruments Directive/Regulation (MiFID/MIFIR)

Mergers & Acquisitions

Operational Resilience

Pensions

Product Disclosure

Public Affairs

Senior Managers Certification Regime (SMCR)

Supervision

Sustainable Finance and ESG

T+1 Accelerated Settlement

Taxation

Trading and Settlement

Transaction Reporting

Wealthtech

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Artificial Intelligence

Client Assets Sourcebook (CASS)

Consumer Duty

Culture and Inclusion

Customer Vulnerability

Cyber Security

Data Protection

Dematerialisation

Financial Crime

Financial Services Compensation Scheme

Future of Advice

Indices

Investment

Markets in Financial Instruments Directive/Regulation (MiFID/MIFIR)

Mergers & Acquisitions

Operational Resilience

Pensions

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Senior Managers Certification Regime (SMCR)

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T+1 Accelerated Settlement

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Podcasts

A podcast is a program made available in digital format for download over the Internet. For example, an episodic series of digital audio files that users can download to a personal device to listen to at a time of their choosing.

Webinars On Demand

View previously-recorded PIMFA Webinars.

Pensions and Retirement Planning Conference 2026

Join us for the PIMFA Retirement Planning Conference 2026, where leading experts will explore the future of retirement planning, pensions policy, advice and client outcomes. …

Get Tickets £295.00 – £630.00

Date & Time: 11th Nov 2026 (8:30 - 18:00)

11th November @ 08:30 - 18:00

Wed 11

CPD: TBC Location: Eversheds Sutherland

View Event

The SMF Regulatory Briefing Programme 2027 – All You Need to Know About Everything That Matters Most

PIMFA’s SMF (Senior Management Function) Regulatory Briefing Programme is a 12-month online leadership programme for time-strapped senior managers who need to cut through the regulatory noise and grasp, from a senior leader's perspective, how to better measure, manage, and monitor compliance and regulatory risks within their firm. …

Get Tickets £950.00 – £1,050.00

Date & Time: 21st Jan 2027 (10:00) - 09th Dec 2027 (11:00)

21st January 2027 @ 10:00 - 9th December 2027 @ 11:00

Thu 21

CPD: 12 Location: Virtual

View Event

September 2023

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PIMFA Webinar: How PIMFA Firms Can Successfully Take The Worry, Frustration And Stress Out Of Their CASS Audit Session 2

Learn practical strategies for reducing stress and complexity in your CASS audit process, ensuring compliance and peace of mind for your firm. …

Free

Date & Time: 07th Sep 2023 (11:00 - 12:00)

7th September 2023 @ 11:00 - 12:00

Thu 7

Location: In Person

View Event

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PIMFA Webinar: SDR & Investment Labels: How can firms prepare for upcoming ESG regulation?

Understand the FCA’s SDR and investment labels requirements and learn how your firm can prepare for upcoming ESG regulations with practical steps for compliance and reporting. …

Free

Date & Time: 26th Sep 2023 (12:00 - 13:00)

26th September 2023 @ 12:00 - 13:00

Tue 26

Location: In Person

View Event

October 2023

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The PIMFA CASS Academy 2023

Gain expert insights and practical guidance on safeguarding client assets and meeting regulatory obligations with confidence. …

£2,750.00 – £3,750.00

Date & Time: 03rd Oct 2023 (9:00 - 12:30)

3rd October 2023 @ 09:00 - 12:30

Tue 3

Location: In Person

View Event

November 2023

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Reinforcing Customer Centricity: How Your Firm Can By July 2023, Meet The Exacting Standards Customer Support And Consumer Understanding Under Consumer Duty

Discover practical strategies to reinforce customer centricity and ensure your firm meets the Consumer Duty standards for customer support and consumer understanding by July 2023. …

Date & Time: 02nd Nov 2023 (0:00 - 23:59)

2nd November 2023

Thu 2

Location: In Person

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PIMFA Webinar: Imposter or talented over-achiever? Nov 2023

Explore the realities of imposter syndrome, uncover strategies to build confidence, and learn how to recognize your true value as a high-achieving professional. …

Free

Date & Time: 09th Nov 2023 (13:00 - 14:30)

9th November 2023 @ 13:00 - 14:30

Thu 9

Location: In Person

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PIMFA Webinar: M&A in Wealth Management: Trends, Challenges and Opportunities

Explore the latest trends, challenges, and opportunities shaping mergers and acquisitions in wealth management, and gain insights to navigate this evolving landscape successfully. …

Free

Date & Time: 23rd Nov 2023 (11:00 - 12:00)

23rd November 2023 @ 11:00 - 12:00

Thu 23

Location: In Person

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