How employers can manage the increasing mental health issues amongst younger workers
2024-11-28 12:30 - 13:30 (Europe/London)
Contact details: Stephanie Pollard (stephanie.pollard@clydeco.com) | +44 7843 833 106
Mental ill health is one of the leading causes of sickness absence in the UK but look beyond the headline statistics and we see that younger workers are disproportionately impacted by mental health issues.
Join us for a special webinar where Counselling Psychologist Mr Simon Brittz from HCA Healthcare will join Employment Partner Chris Holme to look at how employers can manage the rising mental health issues amongst younger workers 💼
Our speakers will give their expert insights on what is driving the rise in mental health issues among younger workers, spotting the warning signs that an employee is experiencing difficulties and key practical steps employers can take to support their employees, manage legal risks and prepare managers to deal with mental health issues.
📆 28 November, 12:30-1:30PM GMT

PIMFA Webinar: CASS: The calm before the s166 storm
2025-01-14 11:00 - 12:00
Before the FCA initiates a Section 166 review of your firm’s approach to CASS, the regulator typically takes several preliminary steps to assess your firm’s compliance and risk profile. Yet for many firm’s the regulators actions before a s166 is triggered, remain a mystery.
In this FREE 60-minute webinar, we unpick the crucial steps leading up to a Section 166 notice, demystifying the key processes and interactions the FCA undertakes before a review of a firm’s approach to CASS is initiated.
To avoid a painful and costly review of your CASS governance and oversight arrangements, our panel our experts discuss:
1. How the FCA is conducting routine supervisory activities on your approach to CASS in 2024.
2. How the regulator uses data from regulatory submissions and reports to assess and manage your firm’s CASS risks.
3. How a firm’s CASS compliance breaches informs the FCA’s decision-making process.
4. How to identify and assess issues that could lead to a s166 review of your firm’s CASS culture, governance, and organisational arrangements.
5. How to proactively use market intelligence, thematic reviews, and inspections to eliminate weaknesses in your CASS environment.

PIMFA Webinar: CASS Skilled Person Review: How to Respond, Tackle and Avoid Action
2025-01-21 11:00 - 12:00
The FCA’s Section 166, “Skilled Person Review,” is one of the regulator’s go-to tools they’re not afraid to use, when assessing your firm’s compliance with the CASS rules. No need to be concerned? Think again, as s166 reviews continuing to rise across the sector, firms should be in no doubt that the FCA is prepared to appoint an independent third party to conduct a ‘drains up’ review of your approach to CASS.
Even for the largest firms, a S166 review is intrusive, expensive, time-consuming, and incredibly resource-intensive as your firm attempts to demonstrate effective risk management and adherence to regulatory standards.
In this FREE 60-minute webinar, we’ve assembled a panel of FCA-appointed skilled persons alongside specialists in CASS compliance to answer your most pressing concerns about the s166 review process. No question is off limits as we tackle:
1. ‘Help, we’ve got a s166 notice!’
2. What to do if The FCA commissions a s166 review
3. How to get the most from a CASS s166 review
4. The costs of a skilled person review
5. The foolishness or wisdom of challenging the findings of a s166 review
6. The most effective strategies to avoid a skilled person review

PIMFA Learning: The SMF Regulatory Briefing Programme 2025 - All You Need to Know About Everything That Matters Most
2025-01-28
What the FCA expects from Senior Managers
The FCA takes the competence of your Senior Managers very seriously. Upon applying to become an SMF, the FCA expects an individual to demonstrate a high level of skill and knowledge to carry out the role, supporting their application by completing a skills gap analysis, learning and development plan, and competency assessment.
Remaining Fit and Proper
But the regulator’s scrutiny of an SMF doesn’t stop at the application stage. The FCA expects your firm to ensure that your SMF holders continue to possess the requisite skills, particularly concerning the latest regulatory developments. Annual fit and proper assessments, mandated by the regulator and conducted by your firm, are not a ‘tick box’ exercise requiring you instead to carefully assess whether your senior managers are competent in performing their roles.
The solution
PIMFA’s new 12-month ‘SMF Regulatory Briefing Programme’ supports SMF holders in learning everything they need to know about the issues that matter most to them. It also prepares prospective SMF holders for the highest level of leadership. The programme consists of a series of live, monthly, online one-hour sessions on critical compliance, risk and financial crime challenges, enabling SMFs to:

Keep up to date with the latest regulatory trends and initiatives
Demonstrate their commitment to regulatory proficiency
Access the training at a convenient time, through our on-demand learning platform
Document CPD activity as required

Highlights and key outcomes
By enrolling on ‘The SMF Regulatory Briefing Programme 2025’, SMFs will be able to:

Evidence to the FCA their in-role competency and capability required under SMCR.
Rapidly assess the firm’s compliance exposure and vulnerabilities.
Get ahead and make sense of a broad, complex, and ever-evolving regulatory and compliance landscape.
Set priorities to develop a proactive regulatory change management programme.
Lead your firm on how best to mitigate risks, create a firm-wide compliance culture, make sound decisions, and build resilience across the business.
Improve their strategic thinking and ability to respond to regulatory change effectively.
Explore with peers the latest research and best practices for managing risk to safeguard enterprise value.

Session format
Each session includes a mix of expert-led presentations, real-world case studies and small group discussions.
Programme topics and schedule
Through 12 sessions, SMFs develop the knowledge and insights on the latest regulatory changes and compliance challenges required to protect their firm’s assets, reputation, and competitive advantage.
Format: 12 x 1-hour monthly sessions
Delivery: Live, expert-led online learning sessions
Start date: 28 Jan 2025 – 11th Dec 2025
Duration: 12 months

PIMFA Learning: Customer Vulnerability: Applying and Implementing PIMFA’s guidance in your firm
2025-01-28 14:00 - 17:00
Customer vulnerability is a complex area that PIMFA member firms must get right. Ultimately, it is about identifying customers with vulnerable characteristics and ensuring they consistently experience good outcomes. That’s not as easy as it sounds, especially when The FCA has made clear that it will apply a vulnerability lens to its ongoing supervisory and enforcement work.
This live tutor-led training course delivered by vulnerability experts at the Money Advice Trust, based on PIMFA’s recently published 160-page guide, “Understanding Customer Vulnerability”, supports wealth managers and financial advisors who want to improve how they can:

Embed a focus on vulnerability into their strategy and culture.
Ensure they are asking the right questions about the data, management information, and data they need to deliver the right outcomes and experiences for customer vulnerability.
Account for customer vulnerability in product and service design.
Actively monitor customer behaviour and consider potential vulnerability in customer interactions.
Support and enable customers with characteristics of vulnerability to disclose their needs.
Capturing and retrieving information about vulnerability during subsequent customer interactions

By enrolling on this course, you’ll be able to answer with confidence the following questions:

How do you identify customer vulnerability, and what criteria do you use for this assessment?
What specific support mechanisms are in place to assist customer vulnerability throughout their interaction with your firm?
How do you tailor and test communication strategies to ensure that customers with vulnerable characteristics understand the products and services offered?
Are your services and communications accessible to all customers, including those with disabilities or other barriers?
How do you monitor the effectiveness of your support for customer vulnerability, and what metrics do you use?
What procedures do you have in place for escalating the needs of customers with characteristics of vulnerability to senior management or specialised teams?
How do you ensure that products and services offered to customers with vulnerable characteristics appropriately meet their needs?

Who Should Attend:

SMF holders who require the knowledge and understanding to promote a culture of awareness and responsiveness to vulnerable clients in line with current and future FCA expectations.
Sales & Marketing Directors tasked with ensuring that the firm’s financial promotions and customer communications don’t exploit vulnerable consumers.
Compliance and Risk leaders that want a proven framework to better recognise, assess, and manage potential risks related to customers with characteristics of vulnerability .
Regulatory risk professionals and in-house counsel who, having identified evidence of consumer harm or risk of harm to customers in vulnerable circumstances, need to develop a remediation strategy to avoid assertive supervisory and enforcement action.
Internal auditors who wanting to ‘up their firm’s game’ seek to ensure effective monitoring and reporting mechanisms are in place to track how the firm identifies and serves customer vulnerability, evaluating both the processes and the outcomes.

Offer: Bring your colleague along for free – please enter code 6JZWEFP5 at checkout.

PIMFA Learning: Non-Financial Misconduct: Guidance and Toolkit To Avoid Non Compliance
2025-01-29 10:00 - 12:00
Whether certain behaviours of individuals working in financial services, particularly outside of the workplace, fall under the FCA’s supervision’s remit is much debated; what’s not is the regulator’s belief that ‘non-financial misconduct can amount to a breach of our [FCA] conduct rules’.
In this practical, scenario-based, in-person training session, delivered by regulatory and employment lawyers who have dealt with non-financial misconduct issues firsthand, you’ll learn how to navigate the challenges of investigating NFM in your firm, understand when NFM might breach the conduct rules and assess the impact of NFM on the fit and proper assessment.
Immediately after the training, you will receive a zip folder of key resources and checklists referred to in the training session which you can use to help you enhance your policies, processes, and practices around NFM.
Attending this session and leveraging the resources will give you the knowledge and confidence to:
1. Ready your firm for anticipated new rules on NFM.
2. Align your firm’s whistle-blowing policy, reporting process and procedure to the regulators expectations
3. Recognise and escalate NFM incidents appropriately
4. Manage NFM incidents
5. Ensure regular communications between the HR and compliance teams to deal with and manage NFM incidents
6. Assess what may amount to ‘serious’ misconduct
7. Accurately record NFM incidents
8. Understand when NFM should be reported to the FCA
What you’ll cover in the session:
– Overview of Non-Financial Misconduct (NFM)
– FCA’s Stance on Non-Financial Misconduct
– Regulatory Framework and Guidelines
– Compliance Obligations for PIMFA member firms
– Key Responsibilities of Senior Managers
– Reporting and Documentation Requirements
– Implementing Effective Policies and Procedures
– Approaches to creating a Positive Organisational Culture
– Establishing Clear Conduct Standards
– Training and Awareness Programs
– Monitoring/measuring culture
– Whistleblowing, complaints handling and investigations
– Discipline for NFM
– Regulatory references
– Reporting to the FCA
– Interactive Case Studies of Non-Financial Misconduct in Financial Services
– Lessons Learned from Past Incidents
– Best Practices for Mitigating Non-Financial Misconduct
– Successful Strategies from Leading Firms
– Continuous Improvement and Learning
– Monitoring and assessments
– Q&A Session
Who Should Attend:
• Compliance and Conduct leaders seeking guidance on how to:
– Deal with allegations of non-financial misconduct
– Recognise whether NFM is an isolated incidence or an indicator of a wider culture issue
• HR leaders who want to ready their firm’s response for new FCA rules and guidance, including the impact NFM could have on remuneration and how NFM should be dealt with in a regulatory reference.
• In-house counsel who seek assurance of when and how to respond to allegations of non-financial misconduct.
This training course will take place IN PERSON at the DAC Beachcroft London Office located at 25 Walbrook, London EC4N 8AF

Bring a colleague along for free!
Use VOUCHER CODE BG3N8AKH at checkout to claim this buy-one-get-one-free offer!

This voucher can only be used when purchasing 2 full price tickets

O-IM Three Years Of Solid Performance
2025-01-30 10:00 - 11:00
O-IM’s Investment Team will reflect on their three-year track record, discuss the key drivers behind the performance, and share their outlook for the months ahead.
For more information contact john.muir@o-im.co.uk, 07821 535587 or click here.

Operational Resilience: Protect Investors & Enhance Compliance
2025-01-30 10:30 - 11:30
Disruptions to critical, or important business services can have far-reaching consequences not just for the financial services, but national economies and consumers.
In this event, Ruleguard provides a snapshot of the UK’s operational resilience framework, outlines key requirements of the EU’s Digital Operational Resilience Act (DORA) and how operational resilience aids transparency and builds trust with consumers.
For further information click here.

PIMFA Live Online Training: Operational Resilience Self-Assessment: Writing and preparing your document to meet the FCA’s March 2025 deadline
2025-02-10 09:30 - 12:30
Are you ready to demonstrate operational resilience by 31 March 2025?
Be under no illusion your firm’s Operational Resilience Self-Assessment document will be the first item the FCA requests to see when assessing your firm’s ability to deliver important business services throughout operational disruptions such as cyber-attacks, technology failures or third-party disruptions.
And with the FCA’s deadline of 31st March 2025 fast approaching for boards of enhanced SMCR firms to review and approve their written self-assessment, now is the time to ensure this essential document demonstrates to the regulator your firm’s ability to prevent, adapt to, respond to, and recover from disruptions.
Helping you get your report right first time
In this live, tutor-led online course, Richard Preece, Chair of PIMFA’s Operational Working Group, assists you to avoid the pitfalls firms make when drafting your self-assessment, ensuring that you can:
1. Clearly articulate the FCA expectations for your firm’s operational resilience self-assessments, including the required elements (important business services, impact tolerances, mapping, scenario testing, lessons learned, vulnerabilities, and communication strategy). You will receive guidance on the size and level of detail of the Self-Assessment document that’s proportionate to your firm’s activities.
2. Construct a comprehensive self-assessment document that effectively demonstrates your firm’s full compliance with the regulation. This includes understanding the appropriate format, size, and content of the document. Time on the course has been allocated to provide guidance on addressing challenges like proportionality, consumer harm mitigation, and justification of methodologies.
3. Identify and effectively manage key challenges associated with operational resilience, particularly those relating to outsourcing (both intra-group and third-party), and 4th parties. Through case studies and examples, your trainer will offer practical solutions and best practices to mitigate third-party risks.
4. Implement a process for regularly reviewing and updating the self-assessment document to reflect changes in the business, market conditions, and lessons learned. Your trainer will emphasise the nature of the self-assessment and strategies for ongoing maintenance and governance.
5. Follow a proven plan to enhance the sophistication of the self-assessment process over time, improving the maturity of your firm’s operational resilience practices. The course will assist you in making progressive improvements in mapping, scenario testing, and vulnerability remediation, particularly when there is a significant change to the business.
Who should attend this course?
• Board members who have questions or doubts about their firm’s Self-Assessment seek assurances that ‘nothing has been missed’ before approval is given.
• Senior Managers, typically the SMF24, who, in updating the firm’s self-assessment, seeks to articulate how the firm plans to address the vulnerabilities to remain within the set impact tolerances in line with FCA expectations.
• Heads of Operational Risk and Compliance looking to benchmark with their peers how their firm evidences the effects of disruptions and ensure financial stability.
Bring a colleague along for free!
Use voucher code XCEMPQ5U at checkout for 50% 2 tickets!

PIMFA Under 40 Forum 2025
2025-02-12 14:00 - 18:00
For the past 7 years, PIMFA has run the Millennial forum of individuals from our membership. This has since become the Under 40 Leadership Committee.
Its purpose is to bring together bright minds to debate, research and consider pressing issues facing our industry. Their findings result in a report, which is published and widely circulated. You can download the 2023 report here.
At the event on February 12, The Under 40 Forum members will be presenting their findings from their work this year. The day will also welcome industry expert speakers.
This year’s group are researching the following topics, the results of their findings will be presented at the event on February 12th:
1. Does the industry focus on cost undermine value?
2. How can firms better target other demographics to improve their long term viability?
3. How do M&A affect existing and prospective client outcomes?
Event details:
Date: 12 February 2025
Timing: 14:00 – 18:00
Please contact events@pimfa.co.uk if you’d like to attend.

PIMFA Webinar: The Duty to Prevent Sexual Harassment
2025-02-25 11:00 - 12:00
On 26 October 2024, a new section of the Equality Act 2010 came into force, placing a new duty on firms to take reasonable steps to prevent the harassment of a sexual nature of workers in the course of their employment.
In this FREE 60-minute webinar, employment law experts from DAC Beachcroft LLP will explore what the newly established legal obligation is, means in practice and what steps should be taken to avoid falling foul of the new law as well as for employers regarding the prevention of sexual harassment in the workplace taking a deep-dive look into how PIMFA member firms, can simply and effectively create a culture of accountability and openness, where employees feel empowered to report incidents of any form of harassment without fear of retaliation.
Time has been set aside on the webinar to ask our experts how these changes impact your firm’s responsibilities and employee rights, showcasing how leading firms are building a safer and more inclusive work environment.
Key points discussed:
• What is the new duty?
• Key responsibilities of employers
• Recognising, addressing, and preventing harassment
• Reasonable steps
• Strategies for encouraging bystander intervention and promoting respectful workplace behaviour.
• Consequences of non-compliance
• Can we expect further change?

PIMFA Financial Crime Conference 2025
2025-02-26 09:30 - 17:30 | Shoosmiths, 1 Bow Churchyard, London, EC4M 9DQ, United Kingdom
The PIMFA Financial Crime Conference is returning in 2025, ready to update attendees on everything they need to know on the evolving financial crime landscape.
Firms and their clients remain at significant risk, and the event will aim to give PIMFA members the know how to protect themselves. Attendees will get access to expert sessions from professionals across industry, including governmental, regulatory and law enforcement experts, as they discuss what the current threat landscape looks like emerging from new techniques and technologies, and what can be done to operate in a safer and more resilient environment.
As in previous years, this event is named not just at financial crime professionals and MLROs, but at anyone in a senior management or compliance function, working to ensure firm’s work is safe for clients, and one step ahead of the various threat actors acting against the financial services sector in 2025.
As you will see from our agenda, this year’s event will include contributions from the Financial Conduct Authority (FCA), the Home Office, and the National Crime Agency (NCA), among many others – book now to reserve your seat (press are not eligible for this event, and spaces are limited on a first come, first served basis).
If you are a PIMFA Member – Please ensure you are logged in to your account first before adding a ticket to your basket to access the member discounts.

PIMFA HR Briefing 2025 - HR Leaders Looking Back, Moving Forward: 2024 Summary and 2025 Kick-Off
2025-03-04 14:00 - 15:00 | https://www.pimfa.co.uk/event/pimfa-hr-briefing-2025-hr-leaders-looking-back-moving-forward-2024-summary-and-2025-kick-off/
Challenging times lie ahead for HR leaders, but so do opportunities. In the first HR Briefing of the year, the employment team at Clyde & Co. will review what you might have missed in 2024, and what you need to know to prepare for the employment law changes in 2025.
In this  HR Briefing session, Chris Holme and Shadia El Dardiry will take you through both recent and upcoming changes which are significant for HR professionals and in-house lawyers in PIMFA member firms this year.
They will look back at the key employment law developments in 2024, and will consider what these mean for financial services firms. In addition, they will provide a case law update on key decisions from last year.
There are a number of changes being introduced this year which they will take you through – as well as the practical steps you should be considering in 2025 in order to prepare for the significant upcoming employment law reforms. The webinar will also remind firms of the proposed regulatory changes on non-financial misconduct and diversity and inclusion in relation to which the FCA is publishing policy statements.

PIMFA Webinar: M&A in Wealth: Trends and Predictions in 2025
2025-03-06 11:00 - 12:00
With yet another eventful year for M&A now behind us, what does 2025 hold for M&A activity in wealth and personal finance? In this free 60-minute webinar, we ask sellers, acquirers, advisory firms and M&A experts their views and opinions on:

Will deals continue in 2025? If so, at what pace?
Why consolidation trends remain robust among smaller firms.
What makes for a successful, credible deal in 2025?

Unlocking the Potential of Private Markets in Wealth Management
2025-03-12 08:30 - 11:30
Join Mercer for an insightful event designed specifically for wealth managers looking to enhance their understanding and implementation of private market investments. This gathering will provide a unique opportunity to explore the evolving landscape of private markets and their integration into wealth management strategies.
Joined by guest speakers, Mercer will explore:
• Insights from a real-world example of how to implement private market solutions for clients
• CIO perspectives on private markets and challenges of portfolio integration
• How to incorporate both illiquid and liquid asset classes into a Strategic Asset Allocation framework
• Key considerations and due diligence practices when allocating to General Partners in private markets
This event is tailored for select wealth managers who are eager to unlock the potential of private markets and enhance their investment strategies. Whether you are looking to deepen your knowledge, network with peers, or gain practical insights, this event promises to deliver valuable content and connections.
To book and for more information click here

PIMFA Roundtable: Avoiding A Culture of Complacency
2025-03-12 09:30 - 12:30
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.
Through role plays, scenarios and case studies, our experts in this free, invite-only roundtable discussion 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

Scotsman Investment Business Breakfast
2025-03-19 08:30 - 13:00
The Scotsman Investment Business Breakfast will show investors how to best position themselves in the financial year to come. This year’s conference will cover a wide range of themes, such as impacts of global shifts on investment, trends for 2025, the importance of sustainability and alternative investments.
The 2025 event will be a breakfast event providing the opportunity to discuss and debate a broad spectrum of investment-related issues in the current economic climate, with a focus on the future.
For more details, please get in touch with the event manager, Cameron Henderson- cameron.henderson@nationalworld.com

PIMFA Women’s Symposium 2025
2025-04-22 09:00 - 2025-04-23 15:00
Following from the HUGE success of the inaugural PIMFA Women’s Symposium 2024, we are delighted to announce details of the 2025 event.
Receive 30% off group bookings of 5 or more tickets – enter code PWWA6E6C at checkout.
The Women’s Symposium is PIMFA’s 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.
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.
The 2024 event was such a huge success that we expect this event to sell out very quickly so early booking is highly recommended.
For more information on the 2024 event click here
Do you have an interesting story to share? We have started looking for speakers, if you’d like to be considered as a speaker please email us on events@pimfa.co.uk to discuss it further.
Details:
Dates: 22 & 23 April 2025
Venue: De Vere Grand Connaught Rooms, Holborn, central London
To access the PIMFA member discount you will need to log in to your account first. If you dont have a PIMFA account, please create one at www.pimfa.co.uk/registration

Morningstar Investment Conference UK
2025-05-07 08:00 - 17:30
Don’t miss the 19th edition of the Morningstar Investment Conference UK on May 7, 2025, at Sancroft, St. Paul’s, London!
This engaging one-day event offers valuable insights into market trends, strategies, and research tailored for financial advisers and fund selectors. With customised content tracks, attendees can choose the topics that matter most to them. Leading experts and influential speakers will address the key issues shaping the investment landscape.
Expect dynamic presentations, interactive panel discussions, and excellent networking opportunities covering market outlooks, portfolio management, investment strategies, and regulatory updates. Stay ahead in today’s fast-paced market—register now.
Any question please contact: Sarah Rouse or email: investment.conferenceuk@morningstar.com

The PIMFA CASS Academy 2025
2025-05-20 09:00 - 2025-05-21 17:00
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.
This event will take place in person on the 20th and 21st of May 2025
20 St. Andrew Street, London, EC4A 3AG
If you are a PIMFA Member- Please ensure you are logged in to your account first before adding a ticket to your basket to access the member discounts.
For further information and any questions regarding the course please contact learning@pimfa.co.uk

The PIMFA CASS Academy 2025
2025-05-20 09:00 - 2025-05-21 17:00 | cbre, 20 St Andrew Street, London, EC4A 3AG, United Kingdom
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.
If you are a PIMFA Member- Please ensure you are logged in to your account first before adding a ticket to your basket to access the member discounts.
For further information and any questions regarding the course please contact learning@pimfa.co.uk

PIMFA Associate Members Briefing 2025
2025-05-20 16:00 - 18:30
Join us for the 2025 Associate Members Briefing on May 20, 2025.
We will explore topics such as regulation, operations, taxation and others and provide an opportunity to discuss with PIMFA staff specific issues important to the membership.
This event also showcases our ongoing events and publications programme providing examples of how Associates can engage with Members and maximise the value they receive from their membership.
Attendees will also benefit from networking opportunities with other industry professionals.
This event is free for PIMFA Associate Members. To book your place please go to tickets and complete the registration form. If you have any questions please email us on events@pimfa.co.uk
Please note – you must be logged in to your PIMFA account in order to see and book your tickets.
Event Details:
Date: 20 May 2025
Venue: To be announced – central London
Time: 16:00 – 18:30
FREE for PIMFA Associate Members

PIMFA Annual Reception 2025
2025-06-03 18:30 - 21:30
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!
Event details:
Date: 3 June 2025
Timing: 18:30 – 21:30
Please contact events@pimfa.co.uk if you’d like to attend.

PIMFA HR Briefing- DEI: What now, what next for HR? June 2025
2025-06-05 14:00 - 15:00
In April, the FCA announced that it will no longer bring forward proposals requiring many firms to develop a diversity and inclusion strategy, collect and share data, and set targets to address underrepresentation. That said, the regulator still believes that DEI can deliver improved internal governance, decision-making, and risk management. Contrast this with the rollback on DEI initiatives by the US government with many firms like Google, META, and Adobe following suit and scaling back their diversity, equity, and inclusion (DEI) efforts; where does that leave HR in the UK advice firms leading and managing their firms’ DEI initiatives?
In this session of PIMFA’s HR Briefing, delivered by the employment team at Clyde & Co., HR leaders will share their strategies and approaches to DEI, equality, and weaving inclusivity into the fabric of workplace culture.
You won’t want to miss this discussion, so secure your FREE place today!s

PIMFA Webinar: Why M&A Goes Wrong 2025
2025-07-03 11:00 - 12:00 | https://www.pimfa.co.uk/event/pimfa-webinar-why-ma-goes-wrong-2025/
What happens when M&A deals in the wealth sector just fall off the rails, don’t go to plan, or just never happen? No one talks about it, but they should.
Key discussion topics include:

Cultural integration failures
Overvaluation of assets
Inadequate due diligence processes, which often undermine potential synergies

By attending this webinar, you’ll learn:

What jeopardises M&A deals in 2025
How regulatory change can impact deals
How to improve your chance of a successful M&A deal
The key M&A deal evaluation metrics that really matter
How to develop and execute a robust post-merger integration plan

PIMFA Webinar: SDR – One Year On, What’s Changed and What’s Next?
2025-07-10 12:00 - 13:00 | https://www.pimfa.co.uk/event/pimfa-webinar-sdr-one-year-on-whats-changed-and-whats-next/
If a week’s a long time in politics, how would you describe the last 12 months of Sustainability Disclosure Requirements (SDR)?
In this FREE 60-minute webinar, our expert panel reflects on the challenges faced, the opportunities seized, and how firms are now embedding SDR into product design and reporting. We’ll also consider what’s next, including anticipated FCA supervisory activity, international alignment with regimes such as the EU SFDR and ISSB standards, and how firms can futureproof their sustainability strategies.
So, whether you’re in compliance, investment, product, or sustainability roles, this webinar provides practical insights and peer-led perspectives on how to navigate SDR successfully – now and into the future.
Who should attend:
Heads of Compliance, ESG Leads, Product Teams, Investment Professionals, and anyone responsible for sustainability reporting and governance.

The PIMFA Annual M&A Summit 2025
2025-09-18 12:00 - 18:30 | SEI, 1st Floor, Alphabeta, 14-18 Finsbury Square, London, EC2A 1BR, United Kingdom
Register your interest to attend PIMFA’s M&A Summit HERE
Why attend

Get the inside track: We are witnessing a fundamental shift in the advice market. Regulators, acquirers and sellers are faced with a multitude of challenges and opportunities. Find out how they’re responding and reacting at the M&A Summit.
Maximise deal value: Discover from SEI how to build a comprehensive IT integration plan to ensure your firm reaps the benefits of a merger.
Buy or sell with confidence: Grasp from legal experts Farrer & Co. how to maximise value at each stage of the M&A deal cycle.
Avoid due diligence pitfalls: Learn from Square 4 partners how acquirers and sellers can conduct enhanced due diligence to uncover and mitigate any potential risks and liabilities and avoid greater regulatory scrutiny.

Who Should Attend

CEOs, managing directors, finance directors, and M&A leaders of acquiring firms who want to meet their buyer network face-to-face in a confidential environment, including corporate acquirers, private equity, sellers, and more.
Financial Advisors looking to gain vital information to help make an informed decision on how to sell their business.

Private equity investors and other key stakeholders in the sector seeking to meet and grow their network of deal referral sources.

Register your interest to attend M&A Summit HERE

Interested in sponsoring PIMFA’s M&A Summit? Reach out to Philip Allen, Head of Learning HERE

The PIMFA Customer Vulnerability Learning Programme 2025
2025-09-23 09:30 - 2025-11-18 12:30
🎟️ This Event Has Officially Sold Out!

The FCA’s long-awaited published review of Customers in Vulnerable Circumstances (March 2025) leaves no room for doubt, requiring an immediate response from PIMFA wealth firms seeking to continually meet the regulator’s expectations.
And with the FCA not afraid to use the “pointy end of our toolkit” (Alison Walters, FCA’s Director of Consumer Finance, speech 11th March), band-aid or bolt-on solutions for identifying vulnerable customers, outcomes monitoring, data, staff training, and product and service design by firms won’t cut it; all must be improved to ensure that vulnerable customers of wealth managers receive the support they need.
A unique learning offering
PIMFA’s Customer Vulnerability Learning Programme, led by the award-winning vulnerability training team at The Money Advice Trust, is the only Vulnerability training programme that integrates PIMFA’s own Understanding Customer Vulnerability guidance (Nov. 2024) with the FCA’s Good and Poor Practice (March 2025) to offer members our most robust and comprehensive vulnerability training ever offered to wealth managers.
A full-on, immersive, root-and-branch training experience, PIMFA’s Customer Vulnerability Learning Programme provides firms with ‘know how’ needed to transform their processes, systems, and people to deliver better outcomes for vulnerable customers.
PIMFA’s Vulnerability Learning Programme will support your firm:

Accelerate the adoption of new FCA expectations on vulnerability in your firm
Design best-in-class experiences for Customers in vulnerable circumstances
Build and lead a more effective strategy on vulnerability
Develop a shared vision of success around your approach to vulnerability
Anticipate, evaluate, and proactively respond to FCA expectations
Build a customer centric culture into the fabric of your firm and foster a new sense of purpose

Download the brochure to find out how our new Customer Vulnerability Learning Programme can support you in developing a firm-wide strategy for customer vulnerability.
If you are a PIMFA Member, please ensure you are logged in to see member tickets.

Advance your skills, Bring a colleague along for FREE!
Please email learning@pimfa.co.uk if you would like to take advantage of this amazing offer!

PIMFA Compliance Conference 2025
2025-09-25 08:30 - 18:00 | Herbert Smith Freehills Kramer, Exchange House, Primrose St, London, EC2A 2EG, United Kingdom
We are proud to announce that the PIMFA Compliance Conference 2025 will be taking place on September 25th 2025, in London AND online.
This event, now a regular fixture in the PIMFA calendar to highlight key issues raised across our working groups, is aimed at compliance professionals in the investment management and financial advice world. The event will bring together best in class sector speakers, and a high-level audience who can engage with the experts to facilitate fruitful discussions on the latest issues affecting our sector.
The agenda is currently under construction, but an indication of topics we are looking to explore are below:
– PIMFA review of the past year, and horizon scanning for the next
– The Regulator’s Perspective; key messages for PIMFA members from the FCA
– Hear from the Compliance Professionals – what is keeping them up at night?
– Connecting the dots on Cyber Security
– Operational Resilience – six months on, how are firms doing?
– Leveraging Artificial Intelligence to meet compliance challenges
– Ongoing Services Review; what it means for PIMFA members
– Consumer Duty; the landscape since implementation
– Customer Vulnerability; an update since publishing the guide
– The evolution of the ESG agenda
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. When booking your ticket please be sure to choose the correct option – IN-PERSON or VIRTUAL.
If you have any questions or have any interest in speaking or sponsoring this event please contact events@pimfa.co.uk to find out more.

Cyber Security: Capture The Flag
2025-09-29 10:00 - 15:30 | Evelyn Partners, 45 Gresham Street, London, EC2V 7BG, United Kingdom
Capture the Flag immerses you in a sensory-rich and hands-on learning environment. Guided by our security trainers and penetration testers, you will learn how to attack software applications and networks using the tools and techniques employed by real-life threat actors.
Why Capture the Flag?
Security isn’t always front and centre for engineering teams. Formal training in this space is still the exception, not the rule. But with threats on the rise, that gap can leave your software exposed.
Our hands-on events are built to change that. Tailored for developers, infrastructure engineers, and security professionals alike, these sessions are designed to embed security thinking into everyday engineering practice. You’ll learn how to spot, understand and mitigate vulnerabilities early – long before they make it to production.
This capture the flag event will help you to:
Glimpse into a hacker’s mindset and motivations
Understand common attack vectors and how to mitigate them
Embrace shift-left and secure-by-design principles
Develop confidence in your ability to write, test and ship secure code
Avoid the common security flaws introduced during development cycles
For more information please email MariaF@pimfa.co.uk
