PIMFA - Building Personal Financial Futures

PIMFA D&I Awards 2023
2023-10-12 18:30 - 23:00 (Europe/London)
PIMFA is the trade association for the wealth management, investment services and financial advice sector. One of its roles is to promote talent, diversity and inclusion within this space, highlight best practice and develop initiatives to help build an industry which better reflects its increasingly diverse customer base.
There are many instances of good practice which remain hidden or unrecognised. Businesses both large and small will have examples of innovation aimed at improving their inclusivity and performance, which in turn drives positive change across the industry.
Further, there is a stream of exceptional, diverse talent coming up through the ranks in our industry that is changing businesses for the better, engendering greater support for diverse communities and clients, and helping to develop and lead innovation.
We have launched the PIMFA D&I Awards to celebrate this.
The Awards are FREE to enter and open to all firms and stakeholders in the sector – you do not have to be a PIMFA member to enter.
If you have any questions about booking your table for the 2023 Awards ceremony, please contact PIMFA’s Events Team on events@pimfa.co.uk.
CLICK HERE TO VIEW THE 2023 CATEGORIES AND FURTHER INFORMATION

Exclusive evening with Sir Ranulph Fiennes, the world’s most legendary adventurer
2023-10-12 18:00 - 22:00
As the finance world faces a complex climb, meet the man who’s climbed more mountains than most.
We would like to personally invite you to a unique opportunity to learn with Sir Ranulph Fiennes. This exclusive evening is being held by Industrial Thought Group in collaboration with our subsidiary Financial Software Limited on Thursday, 12 October 2023 from 6pm at the Eight Club Moorgate.
Please RSVP here so we can confirm your place.

Ready Steady Grow! Cambridge – Wednesday 11th October
2023-10-11 16:00 - 18:00
At Mills & Reeve, Botanic House, 100 Hills Road, Cambridge, CB2 1PH we are bringing together small businesses, investors, IFAs, entrepreneurs and business advisers – all in one place to hear expert opinion from SME industry experts.
The event is split into two parts – a technical seminar at 16.30, followed by a breakout session and networking from 17.30
Ready Steady Grow Cambridge – sign up here
Registration from 4pm.
Agenda
4.30 Welcome from the Chair, tbc
4.35 Update on the early-stage market and recent commitments in Cambridge – Paul Sullivan, British Business Bank
4.45 Investing in Innovation through the S/EIS, Jan Fachot, PEM
4.55 EIS / SEIS for founders: how to access the tax benefits, Zickie Lim, Mills & Reeve
5.05 Panel Discussion: Under the bonnet with the Fund Managers and Advisers Chair – tbc
Panellists: Harry Bell – Charles Stanley, Tim Dickens – Octopus Ventures, Ed Prior – SFC Capital, Sunil Shah – o2h Ventures and Glen Stewart- Committed Capital
5.25 Journey of a Start-up with Founder tbc
5.35 Closing remarks, Christiana Stewart-Lockhart, EISA
5.40 Move to reception and networking
Here’s an overview of this year’s entire series of Ready Steady Grow! events:
Edinburgh (29Aug) Birmingham (20 Sep), Cardiff (27 Sep), Bristol (28 Sep), Manchester (4 Oct), Leeds (10 Oct), Cambridge (11 Oct), Newcastle (17 Oct), Belfast (19 Oct), Oxford (2 Nov)
If you have any queries or would like to attend please contact Mary Rodgers on mary.rodgers@eisa.org.uk
FAQs:
Who should attend this event?
Entrepreneurs looking to start a business, or access funding to take your business to its next level
Wealth managers looking to gain knowledge and expertise in EIS and small company investing
Investors looking to invest in the ‘Next big thing’
Professional Advisors who want to help SMEs develop and grow.
Will refreshments be provided?
Drinks and canapés will be provided
***
We, the EISA, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. Before we disclose personal data to a third party, we take appropriate steps to ensure that the third party will protect personal data in accordance with applicable privacy laws and in a manner consistent with our privacy policy, which can be accessed here: https://eisa.org.uk/about-eisa/privacy-policy
THANK YOU TO OUR SPONSORS:
British Business Bank, Charles Stanley, Committed Capital, Mills & Reeve, o2h Ventures, Octopus Ventures and PEM

Ready Steady Grow! Leeds - Tuesday 10th October
2023-10-10 16:00 - 19:30
At PwC, Central Square, 29 Wellington St, Leeds, LS1 4DL we are bringing together small businesses, investors, IFAs, entrepreneurs and business advisers – all in one place to hear expert opinion from SME industry experts.
The event is split into two parts – a technical seminar at 16.30, followed by a breakout session and networking from 17.30
Ready Steady Grow Leeds – sign up here
Registration from 4pm.
Agenda
4.30 Welcome from the Chair, tbc
4.35 Update on the early-stage market and recent commitments in the North West – Cat Smith, British Business Bank
4.45 Investing in Innovation through the S/EIS, PwC speaker tbc
4.55 EIS / SEIS for founders: how to access the tax benefits, Paul Christian, Ward Hadaway
5.05 Panel Discussion: Under the bonnet with the Fund Managers and Advisers Chair – tbc
Panellists: Harry Bell – Charles Stanley, Jeffrey Faustin- Jenson Funding Partners, Matt Nelson- Guinness Ventures, Andrew Aldridge, Deepbridge
5.25 Journey of a Start-up with Founder tbc
5.35 Closing remarks, Christiana Stewart-Lockhart, EISA
5.40 Move to reception and networking
Here’s an overview of this year’s entire series of Ready Steady Grow! events:
Edinburgh (29 Aug), Birmingham (20 Sep), Cardiff (27 Sep), Bristol (28 Sep), Manchester (4 Oct), Leeds (10 Oct), Cambridge (11 Oct), Newcastle (17 Oct), Belfast (19 Oct), Oxford (2 Nov)
If you have any queries or would like to attend please contact Mary Rodgers on mary.rodgers@eisa.org.uk
FAQs:
Who should attend this event?
Entrepreneurs looking to start a business, or access funding to take your business to its next level
Wealth managers looking to gain knowledge and expertise in EIS and small company investing
Investors looking to invest in the ‘Next big thing’
Professional Advisors who want to help SMEs develop and grow.
Will refreshments be provided?
Drinks and canapés will be provided
***
We, the EISA, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. Before we disclose personal data to a third party, we take appropriate steps to ensure that the third party will protect personal data in accordance with applicable privacy laws and in a manner consistent with our privacy policy, which can be accessed here: https://eisa.org.uk/about-eisa/privacy-policy
THANK YOU TO OUR SPONSORS:
British Business Bank, Charles Stanley, Deepbridge Capital, Guinness Ventures, Jenson Funding Partners, PwC and Ward Hadaway

SRI Services and Partners Good Money Week event
2023-10-05
Our annual event will once again be a full day’s deep dive into sustainable, responsible, ethical and ESG investment.
This year’s keynote speakers are the FCA’s ESG Manager Sara Woodroffe, who will be discussing SDR and related activity – and NGO Client Earth’s Joanne Etherton. Other expert speakers are UKSIF CEO and expert climate risk actuary Mike Clark.
Their sessions will be interwoven with fund managers panels where we will explore how leading managers deal with some of the most important and complex sustainability issues of our time.
The day qualifies for up to 6 hours of CPD and there will also be lots of time to mingle with old friends and new throughout the day and at the drinks reception into the evening.
For more information and to book your place click here.
Date: Thursday, October 5, 2023
Time: 9.30 for a 10:00 AM start
Drinks reception: 5.30 – 8.30
Address: Christ Church, Spitalfields, Commercial Street, E1 6LY
The event is designed for financial advisers, planners and wealth managers.

Ready Steady Grow! Manchester - Wednesday 4th October
2023-10-04 16:00 - 19:30
At KPMG, 1 St Peter’s Square, Manchester, M2 3AE we are bringing together small businesses, investors, IFAs, entrepreneurs and business advisers – all in one place to hear expert opinion from SME industry experts.
The event is split into two parts – a technical seminar at 16.30, followed by a breakout session and networking from 17.30
Ready Steady Grow Manchester – sign up here
Registration from 4pm.
Agenda
4.30 Welcome from the Chair, Patrick Molyneux
4.35 Update on the early-stage market and recent commitments in the North West – Delyth Edwards, British Business Bank
4.45 Investing in Innovation through the S/EIS, Hannah Barraclough, KPMG
4.55 EIS / SEIS for founders: how to access the tax benefits, Valerie Whalley, RW Blears
5.05 Panel Discussion: Under the bonnet with the Fund Managers and Advisers Chair – Patrick Molyneux
Panellists: Harry Bell – Charles Stanley, Jeffrey Faustin – Jenson Funding Partners, Tim Dickens- Octopus Ventures, Jess Jackson – Praetura Ventures
5.25 Journey of a Start-up with Founder Nicola Weedall, Hydr
5.35 Closing remarks, Christiana Stewart-Lockhart, EISA
5.40 Move to reception and networking
THANK YOU TO OUR SPONSORS:
British Business Bank, Charles Stanley, Jenson Funding Partners, KPMG, Octopus Ventures and Praetura Ventures
Here’s an overview of this year’s entire series of Ready Steady Grow! events:
Edinburgh (29 Aug), Birmingham (20 Sep), Cardiff (27 Sep), Bristol (28 Sep), Manchester (4 Oct), Leeds (10 Oct), Cambridge (11 Oct), Newcastle (17 Oct), Belfast (19 Oct), Oxford (2 Nov)
If you have any queries or would like to attend please contact Mary Rodgers on mary.rodgers@eisa.org.uk
FAQs:
Who should attend this event?
Entrepreneurs looking to start a business, or access funding to take your business to its next level
Wealth managers looking to gain knowledge and expertise in EIS and small company investing
Investors looking to invest in the ‘Next big thing’
Professional Advisors who want to help SMEs develop and grow.
Will refreshments be provided?
Drinks and canapés will be provided
***
We, the EISA, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. Before we disclose personal data to a third party, we take appropriate steps to ensure that the third party will protect personal data in accordance with applicable privacy laws and in a manner consistent with our privacy policy, which can be accessed here: https://eisa.org.uk/about-eisa/privacy-policy

The PIMFA CASS Academy 2023
2023-10-03 09:00 - 12:30
Research shows that firms continue to fall foul of time-consuming and expensive CASS audits, and even those firms with a mature understanding of the CASS rules aren’t immune to escalating CASS audit fees. The problem often isn’t with knowing the CASS rules – many strategies are well understood – but with execution and application.
The PIMFA CASS Clients Academy is a unique learning experience for member firms who, not content to keep up with CASS requirements, seek to expand their knowledge and strengthen their internal capabilities to arrest rising CASS audit fees and ensure the number of incidences and breaches reported to the FCA continues to drop.
The PIMFA CASS Clients Academy (CCA) will change the way you and your firm approach CASS. You will emerge better able to tackle your firms toughest CASS audit challenges, lead with greater CASS knowledge, and inspire assurance at all levels in your firm that your next CASS audit is a success. CCA rapidly upskills CASS Officers, Operations, Compliance, Certification Function Holders, and Custodians to manage your next CASS audit and withstand scrutiny from regulators, auditors and senior managers.

Ready Steady Grow! Bristol - Thursday 28th September
2023-09-28 16:00 - 19:30
At KPMG, 66 Queen Square, Bristol, BS1 4BE we are bringing together small businesses, investors, IFAs, entrepreneurs and business advisers – all in one place to hear expert opinion from SME industry experts.
The event is split into two parts – a technical seminar at 16.30, followed by a breakout session and networking from 17.30
Ready Steady Grow Bristol – sign up here
Registration from 4pm.
Seminar agenda (CPD qualifying)
4.30 Welcome from the Chair, [TBC]
4.35 Update on the early-stage market and recent commitments in the South West – Edward Tellwright, British Business Bank
4.45 Investing in Innovation through the S/EIS, – Matt Atwood, KPMG
4.55 EIS / SEIS for founders: how to access the tax benefits, – Anthony Reeves, Michelmores
5.05 Panel Discussion: Under the bonnet with the Fund Managers and Advisers Chair [TBC]
Panellists: Henry Bell – Charles Stanley, Glen Stewart – Committed Capital, Chris Wiles – Foresight, Paul Mattick – Mercia, [TBC] – Octopus
5.25 Journey of a Start-up with Founder [TBC]
5.35 Closing remarks, Christiana Stewart-Lockhart, EISA
5.40 Move to reception and networking
Here’s an overview of this year’s entire series of remaining Ready Steady Grow! events:
Birmingham (20 Sep), Cardiff (27 Sep), Bristol (28 Sep), Manchester (4 Oct), Leeds (10 Oct), Cambridge (11 Oct), Newcastle (17 Oct), Belfast (19 Oct), Oxford (2 Nov)
To book your place click here
If you have any queries or would like to attend please contact Mary Rodgers on mary.rodgers@eisa.org.uk
FAQs:
Who should attend this event?
Entrepreneurs looking to start a business, or access funding to take your business to its next level
Wealth managers looking to gain knowledge and expertise in EIS and small company investing
Investors looking to invest in the ‘Next big thing’
Professional Advisors who want to help SMEs develop and grow.
Will refreshments be provided?
Drinks and canapés will be provided
***
We, the EISA, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. Before we disclose personal data to a third party, we take appropriate steps to ensure that the third party will protect personal data in accordance with applicable privacy laws and in a manner consistent with our privacy policy, which can be accessed here: https://eisa.org.uk/about-eisa/privacy-policy
THANK YOU TO OURS SPONSORS:
British Business Bank, Charles Stanley, Committed Capital, Foresight Group, KPMG, Mercia, Michel mores and Octopus Investments

Ready Steady Grow! Cardiff - Wednesday 27th September
2023-09-27 17:30 - 20:30
At Tramshed Tech, Unit D, Pendyris St, Cardiff, CF11 6BH we are bringing together small businesses, investors, IFAs, entrepreneurs and business advisers — all in one place to hear expert opinion from SME industry experts.
The event is split into two parts – a technical seminar at 17.30, followed by a breakout session and networking from 18.30
Ready Steady Grow Cardiff – sign up here
Registration from 5pm.
Seminar Agenda (CPD qualifying):
5.30 Welcome from the Chair, Cai Gwinnutt – Tramshed Tech
5.35 Update on the early-stage market and recent commitments in the Wales, Jess Phillips-Harris of British Business Bank
5.45 Investing in Innovation through the S/EIS, TBC
5.55 S/EIS – company considerations, Adam Lawrence – R W Blears
6.05 Panel Discussion: Under the bonnet with the Fund Managers – Ed Prior – SFC Capital, Darren Evans – Waterspring Ventures, David Blake – Deepbridge Capital, Harry Bell – Charles Stanley, Chair: Cai Gwinnutt – Tramshed Tech
6.25 Journey of a Start-up with Founder Rhiannon Rees of PlantSea
6.35 Closing remarks, Christiana Stewart-Lockhart, EISA
6.40 Move to reception and networking
Here’s an overview of this year’s entire series of remaining Ready Steady Grow! events:
Birmingham (20 Sep), Cardiff (27 Sep), Bristol (28 Sep), Manchester (4 Oct), Leeds (10 Oct), Cambridge (11 Oct), Newcastle (17 Oct), Belfast (19 Oct), Oxford (2 Nov)
If you have any queries or would like to attend please contact Mary Rodgers on mary.rodgers@eisa.org.uk
FAQs:
Who should attend this event?
Entrepreneurs looking to start a business, or access funding to take your business to its next level
Wealth managers looking to gain knowledge and expertise in EIS and small company investing
Investors looking to invest in the ‘Next big thing’
Professional Advisors who want to help SMEs develop and grow.
Will refreshments be provided?
Drinks and canapés will be provided
***
We, the EISA, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. Before we disclose personal data to a third party, we take appropriate steps to ensure that the third party will protect personal data in accordance with applicable privacy laws and in a manner consistent with our privacy policy, which can be accessed here: https://eisa.org.uk/about-eisa/privacy-policy
THANK YOU TO OUR SPONSORS:
BBB, Charles Stanley, Fuel Ventures, IFA Magazine, RW Blears Waterspring and Tramshed Tech

PIMFA Webinar: SDR & Investment Labels: How can firms prepare for upcoming ESG regulation?
2023-09-26 12:00 - 13:00
With the FCA imminently publishing their final policy paper on sustainable investment product labelling, we take a look at how this might impact the Wealth & Advice industry and how firms can manage an ever-growing ESG regulatory agenda. Please join our PIMFA-hosted panel discussion with insights from leading industry representatives, as well as experts from Alpha FMC, a leading management consultancy for the wealth & asset management industry

PIMFA Compliance Conference 2023
2023-09-21 09:00 - 17:00
We are proud to announce that the PIMFA Compliance Conference 2023 will be taking place on September 21st, in London AND online.
Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world.
Bringing together a high-level audience who can engage with the experts, this conference will facilitate fruitful discussions with opportunity for questions and networking.

Who attends?
• Compliance consultants, Managers, Heads of, Group Compliance officers
• Risk professionals
• C-suite executives
• Heads of Finance
• MLRO
• Investment Managers and Directors
• Regulators
• Government bodies
• Policy advisers and professionals
• And many others

When booking your ticket please be sure to choose the correct option – IN-PERSON or VIRTUAL.
The Compliance Conference will be live-streamed on the day of the event and if joining virtually you will have the opportunity to ask questions live to speakers and panellists.
Those attending in person will have the opportunity to network with fellow industry colleagues, speakers and sponsors.
The early-bird discount is available until June 30th– prices will increase thereafter.
If you have any questions or have any interest in speaking or sponsoring this event please contact michellao@pimfa.co.uk

Venue:
Herbert Smith Freehills – Exchange House, Primrose St, London EC2A 2EG

Ready, Steady Grow! Birmingham
2023-09-20 16:00 - 19:30
At KPMG, One Snowhill Queensway, Birmingham, B4 6GH we are bringing together small businesses, investors, IFAs, entrepreneurs and business advisers – all in one place to hear expert opinion from SME industry experts.
The event is split into two parts – a technical seminar at 16.30, followed by a breakout session and networking from 17.30
Registration from 4pm
Please register here
Seminar Agenda (CPD qualifying)
4.30 Welcome from the Chair, Nick Hawkins, KPMG
4.35 Update on the early-stage market and recent commitments in the Midlands, Tracy Sherratt, British Business Bank
4.45 Investing in Innovation through the S/EIS, Tom Whybrow, KPMG
4.55 S/EIS – company considerations, Tom Wilde, Shoosmiths
5.05 Panel Discussion: Under the bonnet with the Fund and Wealth Managers, Chair Tracy Sherrat, Charles Stanley, Committed Capital, Jenson, Mercia
5.25 Journey of a Start-up with Founder
5.35 Closing remarks, Christiana Stewart-Lockhart, EISA
5.40 Move to reception and networking
Here’s an overview of this year’s entire series of Ready Steady Grow! events:
Edinburgh (29 Aug), Birmingham (20 Sep), Cardiff (27 Sep), Bristol (28 Sep), Manchester (4 Oct), Leeds (10 Oct), Cambridge (11 Oct), Newcastle (17 Oct), Belfast (19 Oct), Oxford (2 Nov)
If you have any queries or would like to attend please contact Mary Rodgers on mary.rodgers@eisa.org.uk
FAQs
Who should attend this event?
Entrepreneurs looking to start a business, or access funding to take your business to its next level
Wealth managers looking to gain knowledge and expertise in EIS and small company investing
Investors looking to invest in the ‘Next big thing’
Professional Advisors who want to help SMEs develop and grow.
Will refreshments be provided?
Drinks and canapés will be provided
***
We, the EISA, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. Before we disclose personal data to a third party, we take appropriate steps to ensure that the third party will protect personal data in accordance with applicable privacy laws and in a manner consistent with our privacy policy, which can be accessed here: https://eisa.org.uk/about-eisa/privacy-policy/.
THANK YOU TO OUR SPONSORS:
British Business Bank, Charles Stanley, Committed Capital, Jenson Funding Partners, KPMG, Mercia and Shoosmiths

PIMFA Webinar: How PIMFA Firms Can Successfully Take The Worry, Frustration And Stress Out Of Their CASS Audit Session 2
2023-09-07 11:00 - 12:00
Demands on CASS firms have never been greater.
Research shows that firms continue to fall foul of time-consuming and expensive CASS audits, and even those firms with a mature understanding of the CASS rules aren’t immune to protracted discussions with their CASS Auditors. The problem often isn’t with knowing the CASS rules – many strategies are well understood – but with execution and application.
In this FREE 60-minute webinar former regulator and co-creator of The PIMFA CASS Academy Katharine Leaman dispels the myths that surround a successful CASS Audit and withstand scrutiny from regulators, auditors and senior managers.
Key webinar discussion topics include:
• The 6 key areas the FCA expects of you to be on top of
• Why CASS breaches can be a force for good
• Why you don’t need more staff or resources to overcome your CASS challenges

Ready, Steady Grow! Edinburgh
2023-08-29 16:30 - 19:30
At St Andrew Square, Edinburgh, EH2 2AD The Enterprise Investment Scheme Association (EISA) is bringing together small businesses, investors, IFAs, entrepreneurs and business advisers — all in one place to hear expert opinion from SME industry experts.
The event is split into two parts – a technical seminar, followed by a networking reception.
The seminar is 4pm registration for 4.30pm start till 5.45pm at The Edinburgh Grand, 42 St Andrew Square, EH2 2AD.
The networking reception is 6pm till 7.30pm next door at RBS/Dundas House, 36 St Andrew Square, EH2 2AD.
Ready Steady Grow Edinburgh – sign up here
Seminar agenda and speakers forthcoming.
***
Here’s an overview of this year’s entire series of Ready Steady Grow! events:
Edinburgh (29 Aug), Birmingham (20 Sep), Cardiff (27 Sep), Bristol (28 Sep), Manchester (4 Oct), Leeds (10 Oct), Cambridge (11 Oct), Newcastle (17 Oct), Belfast (19 Oct), Oxford (2 Nov)
If you have any queries or would like to attend please contact Mary Rodgers on mary.rodgers@eisa.org.uk
***
FAQs
Who should attend this event?
Entrepreneurs looking to start a business, or access funding to take your business to its next level
Wealth managers looking to gain knowledge and expertise in EIS and small company investing
Investors looking to invest in the ‘Next big thing’
Professional Advisors who want to help SMEs develop and grow.
Will refreshments be provided?
Drinks and canapés will be provided
***
We, the EISA, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. Before we disclose personal data to a third party, we take appropriate steps to ensure that the third party will protect personal data in accordance with applicable privacy laws and in a manner consistent with our privacy policy, which can be accessed here: https://eisa.org.uk/about-eisa/privacy-policy/.

Linking Consumer Duty outcomes to Employee Competence
2023-08-17 10:00 - 11:30
Since the FCA introduced plans for Consumer Duty, firms and individuals alike have been working hard to ensure they deliver against the new requirements. However, whilst there has been a lot of work put into implementing the cross-cutting rules, and the four consumer outcomes, very little has been said about the “employee” dimension, other than in respect of the Conduct Rules.
If asked, would your organisation be confident to hand over their Training & Competence records to the regulator? If they asked to see your T&C Regime pre-Consumer Duty and post, would it really look any different? If asked, could your firm demonstrate analysis and decisions around appropriate MI to evidence that your T&C scheme supports good consumer outcomes? Would being asked to demonstrate “role relevant” training on conduct rules to staff make you start to feel a little uncomfortable?
Regardless of whether you might answer Yes/No/Don’t know to any one of those questions, we think your input and perspective would add value to our debate on the topic, so the Worksmart team to discuss:
1. The regulators expectations of your T&C Regime
2. What analysis and changes have you made to your T&C arrangements in light of Consumer Duty
3. What does a good T&C regime look like under Consumer Duty?
4. How you can evidence, measure, and monitor the competence of the staff to deliver defined customer outcomes
5. How can your T&C arrangements support Culture change in your firm
6. How RegTech can improve your approach to T&C
To book click here
Vanessa Palmer
Database & Events Management Principal
vanessa.palmer@worksmart.co.uk
07535031514

PIMFA Webinar: Consumer Duty: The Final Countdown
2023-07-27 11:00 - 12:00
The FCA pulled no punches last week, listing 10 key questions they expect firms to be able to answer by the 31st July and beyond.
The questions to firms include the changes they’ve made following reviews of product/service design, their treatment of vulnerable customers, how they’ve acted on the outputs from their fair value assessments, and their approach to staff training.
In this webinar, PIMFA associate member firm, Bovill, reviews the regulator’s questions and explains the steps firms can still take to identify and act on areas to help demonstrate the delivery of good customer outcomes.
This webinar will help you:
 Understand the FCA’s key areas of focus as Consumer Duty implementation draws near
 Recognise how the FCA focus areas apply to products and services in the wealth sector
 Identify practical ways to demonstrate that you’re meeting key consumer duty requirements
This webinar is for:
 Sales directors
 Product/service managers
 Client-facing staff
 Operations staff
 Heads and Managers of Compliance and Risk
To join this FREE webinar, please register on zoom, details below
When: Jul 27, 2023 11:00 AM London
Topic: PIMFA Webinar: Consumer Duty: The Final Countdown
Register in advance for this webinar:
https://us06web.zoom.us/webinar/register/WN_J2uH1O7cQpqPtoks9vwVTw
After registering, you will receive a confirmation email containing information about joining the webinar.

PIMFA Webinar: Equipping Consumer Duty Champions and Senior Executives with the knowledge to discharge their accountabilities under the Consumer Duty 2023
2023-07-12 11:00 - 12:00
The SM&CR ‘Duty of Responsibility’ and the ‘Senior Manager Conduct Rules’ establish clear senior management responsibility for complying with the requirements of the Consumer Duty. This includes a requirement for Senior Managers to personally attest that the Consumer Duty is embedded within their firm.
At least annually, a firm’s board, or an equivalent governing body, must also review and approve an assessment of whether the firm is delivering good customer outcomes consistent with the Duty.
This webinar will help you:
• Understand the requirements and expectations of Senior Managers;
• Provide examples of the ‘reasonable steps’ Senior Managers should take to effectively discharge their individual and collective responsibilities; and
• Provide examples of industry and regulatory best practice.
Who should attend?

Consumer Duty Champions
Senior Executives responsible for ensuring ‘good outcomes’
Chief Risk Officers and Heads of Compliance
Risk & Compliance Managers
In-house Compliance Advisory

PIMFA Webinar: Achieving positive cultural change and a competitive advantage: Part 2: Understanding your workforce through diversity data monitoring
2023-07-10 10:00 - 11:00
The FCA is encouraging firms to implement measures to promote D&I. But how do you know what action will and will not bring about sustainable positive change? We will reflect on “real life” diversity data monitoring projects, what works, what doesn’t and what is most effective in brining about positive cultural change.
This webinar will help you understand how to:

Avoid data protection and employment issues in diversity monitoring projects
Maximise the potential of your diversity data – identifying issues, solutions and measuring success

Morningstar Investment Conference UK 2023
2023-07-04 08:00 - 18:00
The Morningstar Investment Conference is built around cutting-edge research, insights that bubble up the key messages of that research, and analysis that spots trends and patterns to help you see the big picture. And now’s the perfect time to put it all to work. It’s time to take stock of our goals, realise new opportunities, and build the future. Our flagship event helps investing professionals recognise lessons from the past, understand what’s happening now, and peek around the corner at what’s next.
Click here for more information and to book your place.

PIMFA Webinar: Authentic Leadership Programme 5 'Find out more' 30th of June 2023
2023-06-30 12:45 - 13:45
We would like to invite you to discover more about PIMFA’s ‘Authentic Leadership: How to Thrive as a Female Leader in Wealth and Finance’ programme with this FREE 60 minute, no obligation webinar.
In this webinar with executive coach Caroline Holt, you will:
• Find out if the programme is appropriate for you or your colleagues
• Hear about women graduates who have completed the programme
• Get your questions answered about the programme – what you will get from it, how it all works, the admission process and fees
• Discover how this programme differs from other Women in Leadership programmes for women

PIMFA Webinar: MiFIR Transaction Reporting: How to achieve accurate, complete and timely reporting
2023-06-29 11:00 - 12:00
The MiFIR transaction reporting obligation is more than five years old. Yet despite the maturity of the regime, firms are still struggling to report accurate and complete data to the regulator.
In this FREE 60-minute webinar Kaizen Reporting’s regulatory experts Matthew Vincent and Simon Appleton and PIMFA’s Kevin Sloane will unpack the challenges of reporting accurately, the importance of data quality and meeting regulatory expectations, and provide practical solutions for firms to ensure they are reporting correctly.
Key webinar discussion topics include:

Common errors in regulatory reports
How to put the right controls in place
Consequences of inaccurate reporting
How to take your reporting from ‘Good’ to ‘Great’

LGBTQ+ clients - A Safe Space Webinar to help with their financial needs
2023-06-22 10:00 - 11:00
This webinar has been created to help those concerned with saying the wrong thing when working with LGBTQ+ clients. We all know an LGBTQ+ client is the same as any other but for some, human fear kicks in (unintentionally) and you may feel you’ve said the wrong thing which in turn creates an uncomfortable situation for all when no one means too.
So, at 10am on the 22nd June, we have a safe space for all advisers and support staff to join and just hear from others who have felt the same, hear from advisers on how to support LGBTQ+ community with their financial neds in the same way as anyone else and most importantly a place for Q&A.
This year, we’ve gone one step further and collaborating with our Industry Peers, so alongside The Openwork Partnership, we have friends from SJP and possibly one other network joining us.
To register click here
Setul Mehta
The Openwork Partnership

PIMFA Webinar - Candid Conversation - The challenges facing women as they progress their careers in wealth and financial advice June 2023
2023-06-16 13:45 - 14:45
Financial firms have made progressive steps to be a more inclusive environment that is open for women. However, the glass ceiling still remains very much in place.
This invisible barrier, which hinders women from rising to leadership positions, has come to the attention of regulators keen to see that firms take proactive measures to tackle inequality.
Join Caroline Holt, leader of PIMFA’s Authentic Leadership programme for women, Anna Trickey, Compliance Director at Canaccord, and Carrie Morris, Chief People Officer at The Openwork Partnership, for a candid conversation on the unique set of challenges facing women, as they progress their careers within the wealth and financial advice sector.
Our panellists will share their own personal experiences, discuss what they see happening for other women in the industry and talk about what’s helped them and other women to step up and embrace success.

PIMFA Live Online Learning: T&C under Consumer Duty: What You Need to Know Session 2
2023-06-08 13:30 - 15:30
To ensure your people are prepared to meet the ‘biggest regulatory overhaul in a decade’ PIMFA member firms would be advised to dust off and stress test their approach to Training and Competency (T&C) before the new Consumer Duty comes into force in July 2023.
Why is T&C so critical under the new Consumer Duty?
Taking centre stage of your approach to Consumer Duty is your firm’s ability to practice and demonstrate to the FCA that all your people are aligned and focused on delivering and evidencing good customer outcomes against new and more stringent regulatory expectations. Your firm’s approach to T&C plays a critical role in showing, not just telling the regulator that your advisor population is acting in good faith, proactively avoiding foreseeable harm, and supporting customers to pursue their financial objectives.
In this live, interactive, and practical training session, delivered by a senior T&C practitioner we take HR, L&D, Operations, Compliance, and T&C professionals’ who are looking to:

Get to grips with what good T&C looks like under the new Consumer Duty
Adapt their approach to T&C against the expectations of the new Consumer Duty
Identify and close any T&C gaps or blind spots that might hamper their firm from achieving the outcomes that the FCA will be looking for under the new Consumer Duty
Assure the board and senior executives that your firm’s approach to T&C meets the cross-cutting rules and the four outcomes before the July 2023 deadline
For additional guidance on how to conduct supervised T&C assessments under the new Consumer Duty

By the end of the session, you’ll be able to:

Update and reposition your approach to T&C appropriate to the new Consumer Duty
Analyse the changes that are needed to support a consumer outcome approach rather than one that is compliance driven
Confidently answer challenges on how your T&C framework supports clients pursue their financial objectives
Demonstrate to stakeholders including the board, internal audit, and the regulator how your approach to people competence and capability management achieves ‘good customer outcomes’.

PIMFA Webinar: How PIMFA Firms Can Successfully Take The Worry, Frustration And Stress Out Of Their CASS Audit
2023-06-06 13:00 - 14:00

PIMFA Webinar: Cyber Risk Management – How Complacency Can Ruin Your Reputation
2023-06-06 11:00 - 12:00
Cyberattacks shut down organisations and are now one of the most serious threats to financial services firms. They should be at the top of your risk register. Attackers and the techniques they use are sophisticated, ever evolving, and defending against them is complex. Leaders who are lagging behind, are putting their business and clients’ financial interests at risk. Because a serious breach can have devastating consequences.
In this webinar our PIMFA Plus partner Mitigo will bring to life the attacks that are hitting firms and give a view of what it takes to become protected.
The session will cover the following:

Why misunderstanding cyber risk could ruin your reputation.
Take a closer look at the latest cyber threats facing financial services firms.
Learn more about the criminal ecosystem.
Understand the common security errors made by financial services firms.
Are you failing to satisfy your regulatory and legal obligations?
Find out how to stay one step ahead of the bad guys.

What are the key learning objectives of this webinar?

Quick wins to takeaway to improve your firms cyber resilience.

PIMFA Learning: PwC Consumer Duty Series- Session 3: MI, reporting and governance
2023-05-30 09:30 - 11:30
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.
You will return from each of the three sessions with a set of tools and approaches you can use to:

Improve your ability to organise, manage, and prioritise the key requirements of the Duty
Anticipate and avoid pitfalls that could derail your project plan.
Respond to FCA’s latest announcements and instructions.
Address your firm’s most critical Consumer Duty issues.
Feedback and answers to your Consumer Duty execution challenges

This workshop will focus on:

How firms can develop Consumer Duty MI, reporting and governance that covers the appropriate products, services, touchpoints and customer types for their unique activities.
How the Board can demonstrate that making good outcomes for consumers is central to their firm’s culture, strategy and business objectives.

By the end of this workshop, you will:

Get clarity on the different data to be collected across each of the key Consumer Duty outcomes
Identify and bridge gaps in your MI
Develop actionable and understandable MI, that meets regulator expectations
Consumer Duty obligations will require different data to be collected across each of the key Consumer Duty outcomes
Learn, from our own research, how firms intend to use MI to evidence good consumer outcomes
Know how to join the data dots up between different areas of your business to form a coherent Board report

Format and approach
This two-hour online session is 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.

PIMFA Live Online Learning: T&C under Consumer Duty: What You Need to Know
2023-05-25 13:30 - 15:30

PIMFA Webinar: Achieving positive cultural change and a competitive advantage: Part 1: the FCA’s approach to D&I and positive action vs positive discrimination
2023-05-25 10:00 - 11:00
The FCA is increasingly focusing on what financial services firms should be doing to promote diversity and inclusion (D&I). We will explore recent updates from the FCA and what we are expecting to see in 2023 and beyond. We will consider a range of measures to promote D&I, referencing “real life” case studies, and the fine line between lawful positive action and unlawful positive discrimination.
This webinar will help you understand:

The FCA’s current position on D&I and be prepared for what might be coming down the pipeline
What steps you can take to promote D&I in your firm, avoiding the costly pitfalls of positive discrimination

PIMFA Learning: Consumer Duty Series - Session 2: Engaging with Third Parties
2023-05-23 09:30 - 11:30
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.
You will return from each of the three sessions with a set of tools and approaches you can use to:

Improve your ability to organise, manage, and prioritise the key requirements of the Duty
Anticipate and avoid pitfalls that could derail your project plan.
Respond to FCA’s latest announcements and instructions.
Address your firm’s most critical Consumer Duty issues.
Feedback and answers to your Consumer Duty execution challenges

Session Two: Engaging with Third Parties
PIMFA member firms are relying significantly on their third parties to transmit quality information, particularly relating to the consumer support outcome. Firms need to give detailed thought to the type, timing and volume of information they need from their third-party service providers to test consumer outcomes.
Furthermore, manufacturers and distributors are required to share information required by each for monitoring outcomes. While augmentation of existing templates may be helpful, these are unlikely to meet all firms’ requirements.
This session (that you can attend in person or online) will focus on:

Engagement strategies with third-party suppliers to access information to monitor customer outcomes.
The additional information you may need to share between manufacturers and distributors, and what is the most efficient way to achieve this.

By the end of this session, you will be able to:

Know what’s an appropriate level of detail you will require from product providers.
Recognise the pitfalls of relying on PROD and COLL for meeting the Consumer Duty Products and Services and Fair Value outcomes.
Learn how large and small firms are effectively and efficiently gaining the information they need from their third-party suppliers.
Address information flow challenges, exploring with peers how to optimise information flow between manufacturers and distributors.

Format and approach
You can choose to attend this two-hour session in person 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.
