PIMFA - Building Personal Financial Futures

The PIMFA M&A Roundtable Dinner
2024-09-24 18:30 - 20:00 (Europe/London)
The PIMFA Mergers and Acquisitions dinner is an opportunity for PIMFA members to gain valuable insight into the current M&A landscape impacting and effecting the sector. M&A experts from Farrer & Co. and Thistle Initiatives provide firm’s with an update on the current deal environment and what we can expect to see over the coming year.
Benefits for attending:
1. Hear insights into M&A trends, how they have changed and what’s expected to drive M&A activity this year.
2. Learn how to successfully navigate a deal process in the current environment.
3. Further your knowledge on the key due diligence activities in a merger and acquisition transaction.
4. Learn why some mergers and acquisitions fail and how to avoid the pitfalls.
Who should attend:
This is an invite only roundtable of PIMFA member firms with the following job titles:
• CEOs, managing directors and owners
• Finance directors and senior managers
• Finance and commercial team leaders

PIMFA Compliance Conference 2024
2024-09-19 08:30 - 18:00
We are proud to announce that the PIMFA Compliance Conference 2024 will be taking place on September 19, 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 events@pimfa.co.uk
Venue:
Date: 19 September 2024
Times: 08:30: – 17:45
Venue: Herbert Smith Freehills – Exchange House, Primrose St, London EC2A 2EG

30th Anniversary of EIS
2024-09-18
In 2024, we are celebrating 30 incredible years of the Enterprise Investment Scheme. Three decades of founders, investors and more using the EIS to support UK startups to become household names, create life-changing health technology and more.
Join the Enterprise Investment Scheme Association and the EIS/SEIS ecosystem to celebrate!
We will be holding an exciting in person conference, bursting with important speakers and conversations you won’t want to miss.
There will be talks throughout the evening, followed by an evening reception, where you will be served delicious drinks and canapes.
The event will be filled with entrepreneurs, advisers and investors celebrating all that EIS has enabled the UK to achieve so far, and the vital role it has had in ensuring a world leading ecosystem.
Additional tickets can be bought by members and non- members here.
Join us for the 30th Anniversary Event
Date: Wednesday 18th September
Venue: Institute of Directors, 116 Pall Mall, Central London
Tickets: EISA members will receive one complimentary ticket. You can buy additional tickets, or non-member tickets.
The event will include food and drink throughout the day including a standing buffet lunch, tea, coffee & cake breaks, and drinks and delicious canapes at the evening reception.
The agenda for the 30th Anniversary event:
The conversation will spread understanding of how the EIS has benefited the UK economy, and how it will continue to do so well into the future.
You’ll hear from SEIS and EIS success stories, and get an insight on how to access the schemes yourself.
Learn more here.
Who will be speaking at the 30th Anniversary of EIS?
We will be announcing the speakers over the next few weeks. Follow our LinkedIn and check our website regularly to be the first to know.
Sponsors and Partners
We are very grateful that the 30th Anniversary event is supported by our partners, please stay tuned for sponsor updates.
If you would be interested in becoming a sponsor or partner, please get in touch with Olivia at olivia@eisa.org.uk

PIMFA Live Online Learning: Financial crime Business-wide risk assessment- the key to getting it right
2024-09-16 09:30 - 12:30
The Business Wide Risk Assessment (BWRA) is a key pillar in understanding the risks posed to your business and monitoring the effectiveness of you control framework. Yet so many firms are still getting this critical, living document wrong and thus falling short of regulatory expectations.
The Business Wide Risk Assessment masterclass, delivered by Avyse, is your opportunity to step back and consider the financial crime risks your firm is, or could be, exposed to and consider how those risks could be mitigated.
Under the guidance of experienced consultants, you will be guided through a tried and tested approach that will not only improve the quality of your firm-wide risk assessments, but ensure it can be replicated to be the backbone of your financial crime controls in 2024.
Through this masterclass, you’ll learn how to:
• Complete a comprehensive, yet proportionate assessment;
• Document the methodology in a clear, reliable way; and
• Use the outputs of the risk assessment to inform and enhance the financial crime framework.
Masterclass topics covered include:
• Adopting and embedding the latest FCA requirements and industry guidance in your BWRA.
• Providing an in depth look at the business wide risk assessment process.
• Grasping why it’s crucial to get it right, provide tips and tricks we’ve learned by assisting a myriad of firms in developing their BWRA tools and methodologies.
• Sharing best practice from peer firms – specifically, how to keep the BWRA proportionate yet comprehensive and scalable.
• Recognise good and poor practice – common themes Avyse has identified through their Skilled Person and broader advisory work
Working through an example risk assessment, you will learn how to:
• Avoid the pitfalls most firms make when carrying out and documenting their BWRA.
• Understand and apply different methodologies for carrying out a financial crime risk assessment. This will include:
o Identifying and assessing risks; and
o Identifying and assessing the effectiveness of key controls.
• Replace a tick box exercise approach with a living document to identify ‘real risk’ and that stands up to internal and external scrutiny.
• Determine how to use the outputs of the risk assessment to support internal decision-making processes, including where to enhance controls and allocate additional resources.
• Review, update and improve your BWRA by applying the key principles discussed.
• Conduct with confidence a risk assessment that follows industry good practice
• Explain with confidence to key stakeholders the reasoning and rationale of your BWRA
Who should enrol:
• Heads of Financial Crime / MLROs / Deputy MLROs
• Heads of Compliance and Compliance Leads
• Governance specialists
• Firms currently going through specific registration / authorisation applications.

The PIMFA HR Briefing: How Ready Are You for Employment Law Changes?
2024-09-12 11:00 - 12:00
‘HR Professionals: How Ready Are You for Employment Law Changes?’
In September’s HR Briefing we discuss how two new employment bills the Employment Rights Bill and the Draft Equality (Race and Disability) Bill announced in the Kings speech on 17th July will impact on the world of HR professionals within Wealth firms if they become law.
Over 60 minutes, Clyde & Co’s employment team unpack the new Labour Government’s far-reaching workforce reforms, helping you look at the challenges for your firm both from an operational and implementation perspective.
Key topic discussions include:

Understanding the nature and scope of the proposed reforms in relation to your firm.
Assess the impact of the proposed reforms on your workforce and firm.
How to prioritise your ‘to-do’ list and reduce the risk of getting things wrong.

Don’t miss this opportunity to gain valuable insights and have Chris Holme and Shadia El Dardiry answer your questions.
Register HERE to secure your spot!

The Secret to Successful Product Governance
2024-07-25 10:30 - 11:30
Product governance is a critical aspect of business management. Firms need to ensure that products are developed, launched, and maintained to meet regulatory standards, customer expectations, as well as business objectives. Getting the balance just right is vital to your firm’s success.
Join our upcoming webinar where we delve into the following areas:
Product governance requirements
Implementing a product governance framework
Risk management considerations
Management information
In this session we will provide you with practical steps to help you track your entire product life cycle.
To learn more about Ruleguard visit https://www.ruleguard.com/solutions/product-governance-solution

PIMFA Cyber, Operational Resilience and Risk (COR) Week
2024-07-08 12:00 - 2024-07-12 13:00
PIMFA’s inaugural Cyber, Operational Resilience and Risk conference – launching virtually in July 2024!
PIMFA is delighted to announce a new event being launched in July – our first event dedicated to the worlds of cyber security, operational resilience and risks. In response to member demand and building off the work conducted across our various committees, groups and forums, we will be bringing a dedicated week of daily webinar content on the most prescient topics relevant to firm security and resilience.
The lineup for the conference will include risk and resilience topics, including those relating to regulation, operational resilience and critical third parties, cyber security, the emergence of new technologies, and what the overall conflagration of all these various factors means to firms.
Attendees will be able to watch one live session a day (between 12pm – 1pm). Sessions will also be recorded and available to watch on demand. Additional videos and resources will also be available for attendees to watch and download.
To register your interest as a speaker or sponsor for the event please contact us at events@pimfa.co.uk – we look forward to seeing you in July!
To access the PIMFA member discount you will need to log in to your account first.
Event Details:
Date: 8 – 12 July 2024
Times: 12:00 – 13:00 each day (sessions will also be available to watch on demand)
Venue: online

Understanding the impact & implementation of the UK’s Consumer Duty
2024-06-27 10:30 - 11:30
Are you ready to rise to the challenge? The Consumer Duty, a key part of the FCA’s strategy, is setting the bar high in the financial services sector. It requires firms to put their customers’ needs first, and to demonstrate this on a continuous basis which poses a variety of challenges for firms.
As we approach the July 2024 milestone, Ruleguard reflects on key challenges facing firms and the ability to provide assurance to boards.
Join Ruleguard’s upcoming webinar as we delve into the following:
• Progress on Consumer Duty
• First Annual Board Report
• Upcoming Key Milestone
• Regulatory Approach
This session will feature insights from Ruleguard on how we’re assisting firms in demonstrating compliance and oversight of their regulatory obligations.
To learn more about Ruleguard visit https://www.ruleguard.com/consumer-duty-compliance

PIMFA Webinar: Avoiding A Culture of Complacency
2024-06-24 11:00 - 12:00
Culture lies at the heart of strengthening your approach to Consumer Duty, Financial Crime, DEI and Vulnerable customers. Yet, despite the frequent reminders from the FCA, wealth management firms still need to work on demonstrating to the regulator how they can positively shift the culture needle.
In this FRE 60-minute webinar, our experts unpack:
Why Culture remains central to the FCA’s supervisory model
How to reset and refocus your approach to Culture to meet heightened FCA expectations
How leading firms cut through the complexity to stay ahead of emerging Culture and Conduct risks

EU Digital Operational Resilience Act – what is it and what do financial services businesses need to do?
2024-06-20 13:30 - 14:30
The EU Digital Operational Resilience Act (DORA) entered into force on 16 January 2023 and will be applicable from 17 January 2025. The deadline for financial services businesses to comply is fast approaching and some of DORA’s requirements will take time to meet, including remediating contracts to meet DORA’s prescriptive requirements.
In this webinar, our experts will provide you with the essential knowledge to navigate this new regulatory landscape. Topics covered will include:
*An overview of DORA: We will demystify DORA’s requirements, explain the context for the new regime and the impact it will have.
*DORA vs. the UK operational resilience regime: Our experts will compare and contrast DORA with the UK’s equivalent regime, highlighting key similarities and differences. This comparative analysis will provide a dual perspective, essential for businesses operating in the UK and the EU.
*Contracting requirements and the role of in-house legal: In-house legal teams will be at the forefront of ensuring compliance with DORA’s contracting requirements. We will share actionable tips and techniques on approaching DORA’s ICT contract requirements, as well as remediation exercises.
We hope you will be able to join us.
If you have any queries please contact the DAC Beachcroft Events Team at events@dacbeachcroft.com.

PIMFA ESG Seminar 2024
2024-06-19 09:00 - 16:30
Change is happening, both at a macro level and within our industry. Governments are legislating for mandatory sustainability disclosures and new rules and regulations are constantly being announced while impacts on firms are still being evaluated. The PIMFA ESG Seminar aims to provide attendees with the latest information firms will require to ensure they are ready for what is coming and the opportunities these changes will create for their clients and the sector.
Numbers will be restricted to ensure attendees not only benefit from hearing from subject matter experts addressing them, but also have the opportunity to participate in a discussion on the key themes with peers under the Chatham House Rule. Themes for the seminar will include…

The Regulatory Risk of Greenwashing
SDR & Investment Labels; Implementation & Challenges
ESG Data Challenges & Solutions

To access the PIMFA member discount you will need to log in to your account first.
Event Details:
Date: 19 June 2024
Times: 09:00 – 16:30
Venue: Fidelity International, 4 Cannon St, London EC4M 5AB
If you would like to discuss speaking or sponsorship opportunities please email events@pimfa.co.uk

The PIMFA HR Briefing 2024- Session 2
2024-06-13 11:00 - 12:00
This new duty creates a new risk area for employers, and adds to the onus on employers to take proactive steps to prevent sexual harassment occurring. There will be a corresponding new compensation uplift of up to 25%, for breach of the new duty although the implications of being found not to have complied with it are more likely to be material from a reputational standpoint.
The new duty comes hot on the heels of the Treasury Select Committee’s Sexism in the City inquiry and the PRA and FCA’s recent consultations on measures to improve diversity and inclusion and to revamp how firms should manage allegations of non-financial misconduct, which of course includes sexual misconduct and harassment.

This FREE 60-minute session will cover all these latest developments and focus on what HR and legal teams in members firms should be doing to prepare now.
This lively and interactive session will consider:

Why employers need to continue to take sexual harassment seriously
The FCA’s approach to non-financial misconduct
Anonymity protections which may apply to the complainant automatically where a criminal offence may have been committed
The proposed new duty, how it will apply and the consequences of breach
Proactive steps employers should start to take to prepare for the new duty

By attending this session, you will be able to:

Understand the legal, reputational and business risks associated with sexual harassment complaints
Learn about the FCA’s approach to non-financial misconduct and workplace culture
Appreciate why firms in the financial services industry must continue to take steps to address and improve workplace culture
Understand what taking proactive steps to prevent sexual harassment means in practice
Have a route map to take you through all of these changes

Who should attend this session?
Senior HR, legal, DEI, Talent and L&D professionals within PIMFA member firms

ETF Ecosystem Unwrapped 2024
2024-05-22 11:00 - 2024-05-23 17:00
Europe’s flagship ETF event provides investors and the wider ETF ecosystem with insights into the trends shaping the European ETF market over the next 12 months. This is an ecosystem that is experiencing dramatic growth and change so we believe it is crucial attendees gain an edge in an increasingly competitive market.
Day 1 is for professional investors only. Hear from leading experts on the latest ideas around asset allocation and portfolio construction, all through an ETF lens.
Topics include:
– The fixed income conundrum and the role of ETFs
– Analysing Europe’s ETF product pipeline
– What next when allocating to China?
– ETF investing in volatile markets
Day 2 is open to the wider ETF industry where we will explore the crucial developments from across the European ETF ecosystem.
Topics include:
– Key ETF regulatory developments
– Changes in Europe’s market structure
– The shifting indexing landscape
– The future of ETF trading
Contact information: –
Bob Shearwood:
bob.shearwood@etfstream.com
+44 20 3922 0877

PIMFA Live Online Training: Reputation, Resilience and Risk: Are You Getting It Right?
2024-05-21 09:30 - 12:30
Will your firm still be trusted by your clients after a major disruption or even crisis has occurred?
Today, Wealth Managers face a confluence of interrelated environmental, economic, and geopolitical crises, magnified over TiKTok, Twitter and Instagram. A firm’s value, brand and credibility can be compromised in a matter of minutes. Government, regulators, investors, clients, and other stakeholders are increasingly considering risk and resilience from a more holistic perspective. For example, the proposed The Companies (Strategic Report and Directors’ Report) (Amendment) (the Regulations) 2023 (in draft for approval by Parliament), will oblige in-scope firms to provide a Resilience Statement and a separate Material Fraud statement.
Why you should attend
In this interactive session, you will examine the lessons learnt from recent reputational incidents to ensure your firm is prepared to tackle existing and potential threats. In addition, you’ll take away a toolkit of battle-tested frameworks, proven strategies, and key resources to better measure, manage, and monitor risk in your firm.
‘Bring your colleague along for FREE to this session’
By the end of the session, you’ll:
• Benchmark your firm’s approach to resilience against your peers
• Assess your firm’s potential risks, such as operations threats, reputation damage, cyber-attacks, and unexpected global events
• Test and strengthen your firm’s approach to managing both internal and external risks to align with FCA expectations
• Build and integrate processes that anticipates, prioritises, and mitigates threats
• Develop an action and implementation plan to better protect your firm’s reputation
Specific areas you will cover in this session include:
Strategic Analysis. A “what is going on here?” analysis of tectonic forces that are creating increasingly volatile, uncertain, complex, and ambiguous (VUCA) business environment. How this can lead to challenges to firms’ reputation and trustworthiness, beyond operational disruptions envisaged by Operational Resilience regulations.
Integrated Approach. A set of guiding integrated principles and good practices that build upon and join the dots between existing regulatory obligations and can be developed and implemented by firms to enable and protect firms’ achievement of their purpose, value generation and strategy.
Culture. Consideration of culture, individual and collective knowledge, skills, attributes, and behaviours good practice. How these can build and maintain trust even when challenged, but also can enable thinking fast and right in VUCA environments.
Who should attend?
• CEO and board members who seek to develop a strategic approach to managing non-financial risk, building and maintaining business resilience, not just operational resilience compliance, over the short, medium and long-term
• Executive and senior leaders (COO, Financial, Risk, Strategy, Compliance, Technology, Security, HR, etc) who wish to breakdown silos to achieve shared understanding of managing risk and resilience.
This open session is aimed to provide a safe environment for peers to allow a diagnosis of the challenge and the key questions for boards and executives to ask themselves and their firms’. A more tailored closed session(s) can be provided for individual PIMFA members to workshop and scenario test specific challenges and to develop strategy accordingly.”

Bring a colleague along for free!
Please use Coupon BOGOF-RES2024 at checkout for 50% OFF two tickets

PIMFA Live Online Learning: Masterclass: How to Prepare, Write and Review Your First Consumer Duty Board Report
2024-05-16 09:30 - 12:30
The FCA expects your first Consumer Duty Board report to be ‘signed, sealed, and delivered’ in less than five months. At their peril, firms underestimate the time, process, and planning required to produce a Board-approved report by 31 July 2024.
The stakes are high, and although there is a temptation to populate a template, your first Consumer Duty Board Report is a critical document that must be personalised to suit your firm.
The FCA has put firms on notice, reminding them that they will “need to be able to provide it [their Board Reports], and the management information that sits behind it, on request” – the key here being the evidence that sits behind it.
As time is of the essence, PIMFA, in partnership with consultancy firm Square 4, has designed this three-hour masterclass to help you compile your first Consumer Duty annual assessment report in line with FCA expectations.
Format
Part one of this online masterclass takes you step by step through how to best prepare, structure, format and populate your report. In part two, you will, with the support of regulatory experts, drill down into the 10 critical elements of your Board report that Square 4 has identified will attract greater FCA scrutiny.
Content
This live and interactive masterclass will address the ten critical elements of the Board report that firms must get right:
1. The Executive Summary
2. Customer outcome monitoring
3. Root cause analysis
4. Actions
5. 3LOD assurance
6. Culture and purpose
7. FCA engagement
8. Consumer Duty Champion
9. Business strategy
10. Board approval
Key questions this masterclass will answer includes, how your firm can:
1. What does a detailed and well evidenced Report Board Report look like?
2. Determine what resources you need to put the Board Report together
3. Reveal and address the gaps in your outcomes monitoring framework and Reporting
4. Obtain an appropriate range of relevant qualitative and quantitative metrics
5. Ensure that the report is effectively owned doesn’t get stuck in the second line
6. Retain a sense of proportionality, whilst retaining the quality and completeness the FCA expects
7. Evidence that your firm’s culture and purpose align with the Duty
8. Identify and document poor outcomes, detailing the remedial action(s) taken
9. Grasp what good practice looks like when it comes to documenting your approach to vulnerable customers
10. Demonstrate that there has been robust engagement, scrutiny and challenge from Senior Management, NEDS and the Consumer Duty Board champion
11. Construct a plan to improve outcomes and evolve compliance with the Duty
12. Assess how future business strategy is consistent with the Duty
By attending this masterclass, you will be able to:
1. Follow a clear plan of action to produce a Board Report that aligns to the FCA’s guidance
2. Compare your approach to Board Reporting with industry peers and regulatory expectations
3. Reflect, in your report, the perspectives and priorities of the Board/governing body
4. Develop a clear approach to writing a Report that is purposely, focused and more balanced
5. Employ proven design principles, in line with industry good practice
6. Avoid the trap of presenting too much data and too little information
7. Making the mistake of Reporting too much on what has happened
8. Reflect in your content, the areas the FCA will focus and scrutinise
9. Use the time to complete a robust ‘dry run’ to identify any gaps and issues
10. Create a plan of action up to July, to allow for any necessary reviews and governance steps
Who should attend this masterclass?
Consumer Duty Champions/ Non-Executive Director (NED) who need to know that the Board report reflects the concerns of the Board and contains the MI, evidence and supporting commentary for a robust discussion and debate to occur before the 31 July 2024.
Board members of firms who have already created their annual Board report or are advanced in their preparations and now seek assurance that the work undertaken to date is complete and aligned with regulatory expectations and industry good practice.
Senior executives concerned that their plans and preparations are falling behind schedule which now need a reboot with a clear set of roles and responsibilities and a plan of action to produce the report by 31 July 2024.

The PIMFA CASS Academy 2024
2024-05-14 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.
Please visit our microsite to find out more
BOGOF OFFER!!!!
Please use Coupon CASS2024 at checkout for 50% OFF two tickets

PIMFA Webinar: Taking the sting out of your next CASS Audit
2024-05-07 10:00 - 11:00
Preparing and planning for your next CASS audit is a complex, costly and a time-consuming process. There’s no magic bullet to solve this annual challenge, but measurable progress can be made to strengthen your framework and controls.
In this FREE 60-minute webinar we put three CASS experts under the spotlight to share their key strategies and approaches your firm can take in 2024 to ensure readiness for your next CASS audit.
Key discussion topics panellists debate include:
1. How your firm can complete a CASS audit in less time
2. Why CASS audit fees are rising and what you can do about it
3. The increasing role and importance of technology in your approach to CASS
4. What’s the upside of conducting a CASS health check

Morningstar Investment Conference UK
2024-05-01 08:00 - 17:00
The Morningstar Investment Conference provides financial advisors and experts with an opportunity to remain up to date with the latest research, insights, and analysis, enabling them to better serve their clients.
As investors evolve and markets change, it is essential for advisors to continually develop their practices to meet the needs of today’s investor.
Register now for the 18th anniversary of the UK conference with CPD eligible content.
Ensure that you are equipped with the knowledge and tools necessary to thrive in this ever-evolving industry.
For further information and to book your place click here

PIMFA Women’s Symposium 2024
2024-04-16 09:00 - 2024-04-17 14:00
PIMFA is delighted to announce its inaugural Women’s Symposium!
The Women’s Symposium is PIMFA’s inaugural annual summit dedicated to the investment management, financial advice and wealth management communities. Taking place over two days, the summit will feature cutting edge though leadership, high profile speakers, and lively discussions on a range of topics, including personal development, the latest investment trends, and practice management. The event will create a collaborative space for professionals to network, learn and share best practice from across their professional world.
The symposium is FREE to attend for PIMFA members and associate members and solely funded by our wonderful sponsors, and we encourage individuals at all stages of their career, from Chief Executives to Interns, to join us for two days of motivational talks, regulatory updates, industry panels, personal development roundtables and thought-provoking content related to our industry, and to career development.
Registration is open. There will be an initial limit of 10 tickets per firm, on a first-come, first-served basis.
If you’d like to find out more information on attending, speaking or sponsoring the event please contact events@pimfa.co.uk
Details:
Dates: 16 & 17 April 2024
Venue: Radisson RED Heathrow Hotel, London
FREE for PIMFA members to attend (limit of 10 tickets per firm). Non-members will also be invited to attend, however, a fee will apply. Registrations will open in January 2024.

PIMFA Spring Networking Reception 2024
2024-03-21 18:30 - 21:30
We are delighted to announce that we will be hosting the PIMFA Spring Networking Reception on March 21st in London.
Due to the huge popularity of this event we are releasing a total of 5 tickets per firm in this instance. This might increase closer to the time if capacity allows.
This will be a great opportunity to network with industry colleagues, industry stakeholders and to celebrate all the great achievements the industry has collectively achieved in 2023.
Early booking is recommended, to book your place please contact the team on events@pimfa.co.uk
We look forward to seeing you there!

The PIMFA HR Briefing 2024- Session 1
2024-03-06 14:00 - 15:00
The PIMFA HR Briefing, supported by the employment team at Clyde & Co., is an engaging, deep-dive review of the most pressing HR concerns that impact PIMFA member firms. In each quarterly online session, we tackle real HR issues and collectively provide new perspectives, ideas and solutions that senior HR, DEI, Talent and L&D professionals within Wealth can immediately put into practice.
Attendance at The PIMFA HR Briefing is FREE to all PIMFA member firms.
Please contact The Learning Team to receive updates on The HR Briefing

The PIMFA HR Forum 2024- Session 1
2024-03-06 14:00 - 15:00
Keeping pace with the shifting landscape of HR issues, changes in workplace law and upcoming regulation is challenging. The PIMFA HR Forum, supported by the employment team at Clyde & Co., is an engaging, deep-dive review of the most pressing HR concerns that impact PIMFA member firms. In each quarterly online session, we tackle real HR issues and collectively provide new perspectives, ideas and solutions that senior HR, DEI, Talent and L&D professionals within Wealth can immediately put into practice.
Attendance at The PIMFA HR Forum is FREE to all PIMFA member firms.
Please contact The Learning Team to receive updates on The HR Forum

This event will take place ONLINE

Digital Strategy for Wealth Management
2024-03-06 11:00 - 12:00
The wealth management industry is on the precipice of major transformation due to the upcoming great wealth transfer which will change the demographics of the customer base. The changes will have significant implications for the digital strategy of wealth organisations, which is likely to be a determining factor in whether firms will continue to thrive once wealth changes hands to younger and a more predominantly female customer base.
This webinar covers the key tenets of a successful digital strategy, including:
* Developing an actionable digital strategy that aligns with commercial goals
* Using technology to fulfil your brand promises to your clients
* Addressing the current trends in wealth management
* Creating a future-proofed, client-centric digital strategy.
The expert team from CREALOGIX will provide all the tools and information wealth management firms need for the creation of a successful digital strategy. Sign up today to learn more and help to accelerate your firm’s digital strategy with practical solutions that align with commercial goals.

PIMFA Forum: Breaking Barriers: Empowering Women in Wealth Management and Financial Advice
2024-03-04 16:00 - 19:00
PIMFA proudly presents a transformative event in celebration of International Women’s Day 2024: Breaking Barriers. Our mission is to redefine the landscape of wealth management and financial advice by attracting a diverse group of young minds. With the inspiring theme of ‘Inspiring Inclusion,’ we want to create an industry that every individual can see themselves in both to work and build their financial education.
Taking place virtually on Zoom, the event aims to inspire and empower the next generation of young women and girls across the UK in the field of wealth management and financial advice. It will feature senior leaders from the industry, two-panel sessions followed by a virtual Q&A networking where attendees can build meaningful connections with Senior HR leaders to learn about how to get into the industry.
Who is the event for?
This event is for young people (including those not in education), students, undergraduates, graduates, postgraduates, and people interested in a career in finance or already working in the industry.
Event Highlights:

Inspiring Panel Sessions: Immerse yourself in the narratives of industry leaders who shattered glass ceilings, paving the way for future generations.
Authenticity in Focus: Our esteemed panellists will share genuine career journeys, offering insights into overcoming challenges, seizing opportunities, and navigating the path to success.
Interactive Q&A and Virtual Networking Session: Engage directly with industry leaders during an interactive Q&A, fostering meaningful connections, and gaining knowledge about entering and thriving in the industry.

Programme: View the Programme
Panel 1: Authentic Leaders: Navigating Success in Wealth Management and Financial Advice (4:00 pm – 5:00 pm)
Experience the authenticity of senior leaders sharing insights about their career journey. Discover how they’ve overcome challenges, seized opportunities, and navigated the path to success within the industry.
Panel 2: Stepping in, stepping up: How to make it (5:00 pm – 6:00 pm)
Hear from industry professionals as they share strategies, insights, and personal journeys on how they are making it in the industry.
Interactive Q&A and Virtual Networking Session (6:00 pm – 7:00 pm)
A key component of the event is to engage directly with industry leaders, build meaningful connections, find out how to get into the industry, and discover what organizations look for in future talents. You will have the opportunity to network and interact with industry professionals, including senior HR and recruitment leaders.
Join us in Breaking Barriers – where empowerment meets opportunity! Secure your spot now and let’s inspire inclusion together!
#BreakingBarriers #EmpowerWomenInFinance #IWD2024
For inquiries please contact Oris Ikomi at orisi@pimfa.co.uk or 020 7011 9862
Zoom link
Register in advance for this webinar:
here
After registering, you will receive a confirmation email containing information about joining the webinar.
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PIMFA Consumer Duty Conference 2024
2024-02-28 10:00 - 18:00
The Consumer Duty is one of the most significant regulatory initiatives in recent years with the FCA considering it a major step change for financial services, requiring firms to make lasting changes to culture and behaviour to consistently deliver good outcomes.
Following the success of 2023’s conference, put on for PIMFA member firms planning ahead of the implementation deadline, we will be reconvening the group to consider the state of play after seven months of the Duty – where implementation has worked well, where the sector still has work to do, and how much of a tangible impact has been made on living up to the ideals aspired to by the regulatory impetus.
The conference will look into how firms have reviewed their product suite, communications and end-to-end customer journey, and how changes have been made in areas such as governance, MI and reporting, product design, pricing, distribution, servicing and staff training.
Register to hear from key industry experts on the key themes of consumer duty. We welcomed a high-level audience who engaged with the experts, to facilitate fruitful discussions with opportunity for questions and networking.
If you’d like to find out more information on attending, speaking or sponsoring the event please contact events@pimfa.co.uk

This event sold out in 2023 and is likely to sell out again, so early booking is highly recommended.
The early-bird discount is valid until 22nd December 2023
Event Details:
Date: February 28 2024
Time: 10:00 – 18:00 (subject to change)
Venue: Shoosmiths, 1 Bow Churchyard, London EC4M 9DQ

Impact EIS Funds for Financial Advisers
2024-02-28 10:00 - 11:00
Register now for this free, one-hour webinar on investing in impact EIS funds from the Enterprise Investment Scheme Association.
Date: Wednesday 28th February
Time: 10.00-11.00am
The webinar is orientated specifically towards financial advisers, and open to both EISA members and non-members.
During the webinar, you’ll learn:
✅ What investing in an impact EIS fund looks like
✅ Key considerations when investing
✅ Examples of investee companies
Speakers
Arran Dewar (SIS Ventures)
James Faulkner (Vala Capital)
Matt Jellicoe, (One Planet Capital)
Antoine Pradayrol, (Green Angel Ventures)
Christiana Stewart-Lockhart (Director General, EISA) Chair
Arran Dewar joined SIS in 2023 to lead SIS Ventures. Before this, he worked with Inspiring Scotland and was responsible for the CashBack for Communities Fund (on behalf of Scottish Government), focussed on improving the quality of life of disadvantaged young people. In this role, Arran supported the fund’s social impact through 35 organisations to deliver programmes across Scotland. A qualified Chartered Accountant with over 20 years’ of experience working in business advisory, investment and portfolio management, due diligence and finance, Arran has previously held roles with EY, Saffery Champness and Deloitte. He has a BSc honours degree in Physiology from Glasgow University.
James Faulkner is a co-founder and the CEO of the Vala Group, James is also the Managing Director of Vala Capital and has responsibility for the day to day oversight of Vala. James has enjoyed a successful career in sales and marketing for over 30 years primarily within financial services with PwC, ABN Amro and Dun & Bradstreet but with spells in manufacturing and consulting too. James is a Chartered Member of the CISI and holds the Level 4 Investment Advice Diploma.
Matt Jellicoe Co Founder and Director, One Planet Capital. After a corporate career in public companies, Matthew founded and successfully exited two technology businesses in 2012 and 2018 respectively. He has been an active technology investor since 2012 and serves as a Non-Executive Director for two technology businesses. In more recent years he has specialised in sustainable investments. Matthew holds an Executive MBA from London Business school.
Antoine Pradayrol is an experienced early-stage investor focusing on the climate tech space. He joined Green Angel Ventures in 2017, and serves as Chief Investment Officer, in charge of the firm’s fund activities. He has also built a portfolio of 30 investments across the energy transition sector, clean transportation and smart cities, energy efficiency solutions, circular economy, robotics, and ed-tech. Antoine is actively supporting founders as part of Imperial College London’s Venture Mentoring Service, as a Non-exec Director at Zedify and he was a Board Observer with AirEx until 2021. Prior to joining GAV, Antoine had a successful 15 years career in public equities as an equity research analyst covering the telecom sector. He was an Executive Director and partner with Exane BNP Paribas, based in London since 2005. Antoine is passionate about companies applying innovative technologies to tackle global warming and climate change. He studied at Ecole Polytechnique (economics and finance) and Telecom ParisTech (technology and telecoms).
Christiana Stewart-Lockhart is the Director General of the Enterprise Investment Scheme Association (EISA). She previously spent more than a decade working in Westminster including ten years at the Institute of Economic Affairs. She also founded EPICENTER, a Brussels based network of some of the most respected think tanks from across Europe. Christiana holds a BA in Politics from the University of York. She is a member of TISA’s Young People’s Financial Education Policy Council and also sits on the Advisory Board for the All Party Parliamentary Group for Entrepreneurship.
This will be followed by a Q&A session, where attendees will be welcome to ask our panellists questions.
The webinar will be hosted by EISA Director General Christiana Stewart-Lockhart, and will feature a range of industry experts.
The webinar is a production of the Enterprise Investment Scheme Association (EISA), the official membership organisation for the Enterprise Investment Scheme and the Seed Enterprise Investment Scheme.
With thanks to our sponsors Green Angel Ventures, One Planet Capital, and SIS Ventures and Vala Capital.
Please register here

The PIMFA Transaction Reporting Academy 2024
2024-02-27 10:00 - 2024-03-26 12:00
Live, tutor-led online sessions, with our partners Kaizen Reporting
The challenge
Accurate and complete transaction reporting is a legal obligation. Yet many financial firms, even those with significant resources dedicated to this complex requirement, are falling short of regulatory expectations. Quality assurance testing by regulatory specialists Kaizen have found that only 13% of MiFID II transactions are reported accurately.
The consequences of incorrect reporting are serious and include regulatory scrutiny and sanctions, as well as the significant cost and resource involved in remediating incorrect reports.
The solution
The PIMFA Transaction Reporting Academy (TRA) is an innovative, practical and results-focused learning experience that augments your core reporting skills while deepening your knowledge in key areas of the MiFIR reporting requirements.
Please click here for more information

Session 1: 27 February
Session 2: 5 March
Session 3: 12 March
Session 4: 19 March
Session 5: 26 March

PIMFA Live Online Learning: Product Governance: What Does Good Look Like Under Consumer Duty?
2024-02-27 09:30 - 12:30
The FCA’s Consumer Duty has added a further layer of complexity and risk to PIMFA member firms seeking to ensure that their products and services are centred around clients’ identified needs and benefits. Now, firms have to meet the requirements laid out in PROD and MiFID II, as well as an increasingly stringent supervisory approach to product governance under the Consumer Duty.
‘Bring your colleague along for FREE to this session’
In this live, tutor-led online session, compliance and regulatory expert Daiman Baker unpacks how PIMFA member firms can “act to improve product governance and deliver good outcomes for retail customers” by:
• Identifying and remediating shortfalls in their approach to product governance in the context of the Consumer Duty
• Establishing a robust ongoing monitoring and periodic product review
• Embedding product governance controls across the entire business
• Improving their approach to product risk identification and testing
By the end of the session, you will be able to:
• Provide added confidence to the business that your firm has in place effective risk assessment and mitigation strategies in the product lifecycle [that complies with the enhanced product governance rules]
• Demonstrate to the FCA that your firm has a robust approach product approval process.
• Assure the Consumer Duty champion and Senior Managers that your firm continues to deliver fair value and outcomes for clients – including those with characteristics of vulnerability.
• Benchmark against your peers how effective your firm is in identifying consumer harms.
Approach to learning
Through real-world case studies and interactive activities, learners will enhance their ability to maintain robust product governance frameworks that prioritise client interests and compliance.
Who should attend
• Senior managers and Consumer Duty champions who want to ensure that their firm is considering the needs of their clients at every stage of the product or service lifecycle
• Internal Audit focused on assuring senior managers, the Consumer Duty champion and board members that the firm is meeting its product governance obligations
• Compliance and Risk Officers who seek to manage better the risks associated with product governance
• Product Managers who want to improve existing product governance processes
• Participants in a Product Governance Committee (Investment Professionals, Distribution, Marketing, Operations, Finance, Legal or Tax)
Bring a colleague along for free!
Please use Coupon below at checkout for 50% OFF two tickets
BOGOF-PRODGOV2024

SEIS for Financial Advisers Webinar
2024-02-21 10:00 - 11:00
Register now for this free, one-hour webinar on SEIS investment for financial advisers from the Enterprise Investment Scheme Association.
Date: Wednesday 21st February
Time 11.00am-12.00 midday
The webinar is open to both EISA members and non-members.
During the webinar, you’ll learn:
✅ Details of the Seed Enterprise Investment Scheme (SEIS)
✅ An overview of what investing in an SEIS fund looks like
✅ Last minute tips
✅ Key things to consider
✅ Examples of investee companiesThe webinar is fully CISI CPD qualifying for attendees.
This event is fully CPD qualifying for attendees
Speakers
Jeffrey Faustin (Jenson)
Ed Prior (SFC)
Fred Soneya (Haatch)
Christiana Stewart-Lockhart (Director General, EISA) Chair
Jeffrey Faustin is a Partner and Chief Investment Officer at Jenson Funding Partners. With over 10 years of experience in venture capital, he has worked with over 130 early-stage high-growth technology companies across all sectors working with management teams to deliver growth through business strategy and board advisory support. As CIO, Jeffrey leads the team in all aspects of the investment management process, from deal sourcing and screening to due diligence, deal structuring and negotiation, contract and execution. Jeffrey’s network extends across the entire VC ecosystem, from founder networks, accelerators, and incubators to university innovation hubs, angel networks and later-stage VC funds. He holds a first-class degree in Engineering and an executive MBA from London Business School.
Ed Prior as Head of Investor Services at SFC, leads the Investor Relations team, working with investors and advisors to guide them into SEIS investing. Outside early-stage investing, Ed has published reports in The Times on topics such as The Future CEO and Business Transformation, been a political executive in various election campaigns, and advised politicians on matters related to venture capital and public-private sector innovation.
Fred Soneya Fred was responsible for a number of high-profile, large-scale innovation projects across http://Kiddicare.com and, post-acquisition, Morrisons, the UK’s 4th largest Supermarket. Fred created award-winning digital customer experiences by working with cutting-edge early-stage technology start-ups, bridging the online-offline gap at Morrisons. This included the launch of browse-and-order points at over 300 supermarkets, mobile payments which scaled to hundreds of millions in revenue and electronic shelf-edge labels for thousands of SKUs in the largest, digital-first retail stores in the UK.
Christiana Stewart-Lockhart is the Director General of the Enterprise Investment Scheme Association (EISA). She previously spent more than a decade working in Westminster including ten years at the Institute of Economic Affairs. She also founded EPICENTER, a Brussels based network of some of the most respected think tanks from across Europe. Christiana holds a BA in Politics from the University of York. She is a member of TISA’s Young People’s Financial Education Policy Council and also sits on the Advisory Board for the All Party Parliamentary Group for Entrepreneurship.
This will be followed by a Q&A session, where attendees will be welcome to ask our panellists questions.
The webinar will be hosted by EISA Director General Christiana Stewart-Lockhart, and will feature a range of industry experts.
The webinar is a production of the Enterprise Investment Scheme Association (EISA), the official membership organisation for the Enterprise Investment Scheme and the Seed Enterprise Investment Scheme.
With thanks to our sponsors Haatch, Jenson Funding Partners, and SFC Capital.
Please register here

EIS Knowledge Intensive Funds for Financial Advisers Webinar
2024-02-20 10:00 - 11:00
Register now for this free, one-hour webinar on investment in EIS Knowledge Intensive funds from the Enterprise Investment Scheme Association.
Date: 20th February 2024
Time: 10.00-11.00am
The webinar is orientated specifically towards financial advisers, and open to both EISA members and non-members.
During the webinar, you’ll learn:
✅ In what ways are Knowledge Intensive (KI) EIS funds different to other EIS funds
✅ What tax reliefs are available, investment limits, typical deployment times
✅ Key considerations when investing
✅ Examples of investee companies
This event is fully CPD qualifying for attendees.
Speakers
Jessica Franks (Octopus)
Susie Harris (Parkwalk)
Andrew Noble (Par Equity)
Paul Mattick (Mercia)
Christiana Stewart-Lockhart (Director General, EISA) Chair
Jessica Franks heads up the team that manages investment products across our tax-efficient and institutional investments, including venture capital trusts and investments that qualify for Business Relief. She joined Octopus in 2014 and is a qualified tax adviser.
Susie Harris joined Parkwalk in 2019 from Puma Investments where she was Head of Internal Business Development. She has worked in financial services for all her career, the majority of which has been in the private equity/alternative investments market. Susie began her career at Hartford Life Limited before moving from the life sector to grow the Business Development Support Team at Future Capital Partners Limited and Cocoon Investments. Having lived abroad throughout her education, she has an honours degree from Columbia University in New York City.
Dr Paul Mattick heads the Sales and Investor Relations team for the Mercia EIS Funds. He works directly with private clients and advisers to build the EIS fund raising capacity of Mercia. Paul oversees the administration and development of the EIS funds, and ensures that investors receive a high level of service, much of which is delivered through Mercia’s award-winning Investor Centre. Paul has a variety of experience in early-stage businesses (including being a founder), and formerly worked at another leading EIS fund manager, where he built close relationships with top tier clients, and significantly grew both fund and single company assets under management. Paul has a PhD and Post-Doctorate from the University of Oxford and a 1st Class Bachelor of Science from the University of Leeds.
Andrew Noble is a member of Par Equity’s Investment Committee and sponsor partner to several Par portfolio companies. In addition, Andrew leads Par’s distribution of its discretionary managed funds, takes an active role on improving Par’s operations and technology infrastructure and represents Par Equity on the Steering Committee of ESG_VC, a pan-European initiative aimed at improving the ESG credentials of VC backed companies. Andrew is a former management consultant with McKinsey & Co, specialising in sales optimisation for FTSE 100 clients, before rejoining Par Equity in May 2019. Andrew has broad experience across the early stage venture capital and private equity markets having personally invested in more than 50 innovative, high growth companies since 2008, as well as founding Transition Capital, a management buy-in vehicle, in 2017, where he was managing director, leading the deal sourcing, due diligence, and fundraising efforts. Andrew is a former athlete, having competed for TeamGB in Alpine Skiing at the 2010 Winter Olympics, and holds an MBA from INSEAD Business School.
Christiana Stewart-Lockhart is the Director General of the Enterprise Investment Scheme Association (EISA). She previously spent more than a decade working in Westminster including ten years at the Institute of Economic Affairs. She also founded EPICENTER, a Brussels based network of some of the most respected think tanks from across Europe. Christiana holds a BA in Politics from the University of York. She is a member of TISA’s Young People’s Financial Education Policy Council and also sits on the Advisory Board for the All Party Parliamentary Group for Entrepreneurship.
This will be followed by a Q&A session, where attendees will be welcome to ask our panellists questions.
The webinar will be hosted by EISA Director General Christiana Stewart-Lockhart, and will feature a range of industry experts.
The webinar is a production of the Enterprise Investment Scheme Association (EISA), the official membership organisation for the Enterprise Investment Scheme and the Seed Enterprise Investment Scheme.
With thanks to our sponsors Mercia Ventures, Octopus Ventures, Par Equity, and Parkwalk Advisors.
Please register here
