PIMFA - Building Personal Financial Futures

The PIMFA Transaction Reporting Academy 2024
2024-02-27 10:00 - 2024-03-26 12:00 (Europe/London)
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

PIMFA Webinar: Financial Crime Outlook 2024: What You Need To Know’
2024-02-15 10:00 - 11:00
Whilst some of the same financial crime compliance challenges remain and other risks emerge, what’s clear is that reducing financial crime continues to be a FCA priority in 2024. The regulator’s dedicated financial crime function within Consumer Investments will be proactive in identifying firms with fraud, scams, money laundering or sanctions risk indicators using data and intelligence. Expect to see an increase in on-site visits and inspections with little-to-no warning. Your preparedness for regulatory scrutiny will be critical.
Being confident that you are meeting, implementing and embedding the regulator’s expectations and play your part to reduce financial crime is key. Rebecca Cummings and Daisy White-Smith of Avyse Partners outline and prioritise your financial crime objectives for the year ahead.
Key topic areas for discussion include, but are not limited to:

The treatment of domestic PEPs and practical considerations
An overview of The Economic Crime and Corporate Transparency Act 2023 and the implications for firms in the wealth and investment management sectors
Sanctions compliance – key areas to focus on in 2024
Collating, analysing and reporting data to support identification and management of financial crime risks

PIMFA Learning: Authentic Leadership: How to thrive as a female leader in wealth and finance Feb 2024
2024-02-06 | See description for details
According to the Financial Conduct Authority, ‘senior jobs are still mostly for the boys’. And, whilst more regulated financial services firms are treating gender diversity as a business priority, the evidence on a sector level would suggest women still remain under-represented at senior management and leadership levels.
As a leadership development program for women in finance and wealth, we directly address the challenges women executives often face, helping them to develop the confidence, connections and actions needed to achieve their potential.
This unique coaching programme delivered virtually by executive coach, Caroline Holt, is endorsed by The Institute of Leadership & Management and CPD accredited by CISI.
The PIMFA Authentic Leadership programme is a six-month programme divided into six training modules, with a new module released every four weeks.
It is also an arena for sharing experiences, practising the tools – as well as a place to get inspiration, support and the motivation to help you achieve your goals.

Coaching Call 1: Tuesday 6th February from 11.00 to 13.00
Coaching Call 2: Tuesday 5th March from 11.00 to 13.00
Coaching Call 3: Tuesday 16th April from 11.00 to 13.00
Coaching Call 4: Tuesday 14th May from 11.00 to 13.00
Coaching Call 5: Wednesday 12th June from 11.00 to 13.00
Coaching call 6: Wednesday 10th July from 11.00 to 13.00

PIMFA Webinar: Climate change and Financial Crime: A vicious cycle
2024-01-25 11:00 - 12:00
Join financial crime platform Themis as they take you through the links between financial crime and climate change, demonstrating why the ‘S’ and the ‘G’ of ESG are just as important for firms’ climate change efforts as the ‘E’.
In this FREE 60-minute webinar, we look at how financial crime harms the environment and contributes to climate change, and how, in a vicious cycle, climate change is further fuelling financial crime worldwide. We also discuss how firms can help reduce their carbon footprint and damaging environmental impacts through their anti-financial crime efforts; for example, through adequate supply chain risk assessment, customer due diligence and responsible investment.
This webinar will help you understand:
– The links between financial crime and climate change
– Why tackling financial crime is just as important for the ‘E’ as the ‘S’ and the ‘G’ in ESG
– Some of the ways you can address climate change and your carbon footprint through anti-financial crime efforts

PIMFA Webinar: Get up to date on the SDR and investment labels final rules and guidance
2023-12-14 11:00 - 12:00
Join us for a webinar discussion on the Sustainability Disclosure Requirements and investment labels regime and a deep dive into the final rules and guidance. The Sustainability Disclosure Requirements and investment labels regime aims to help consumers navigate the market for sustainable investment products. The rules introduce:

An anti-greenwashing rule for all FCA-authorised firms. The FCA is also consulting on supporting guidance.
Naming and marketing rules for investment products, to ensure the use of sustainability-related terms is accurate.
Four labels to help consumers navigate the investment product landscape and enhance consumer trust.
Consumer-facing information to provide consumers with more accessible information.
Detailed information targeted at institutional investors and consumers seeking more information in pre-contractual, ongoing product-level, and entity-level disclosures.
Requirements for distributors to ensure that product-level information (including the labels) is made available to consumers.

PIMFA Under 40 Forum 2023
2023-12-13 14:00 - 18:00
For the past 6 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.
At the event on December 13, The Under 40 Forum members will be presenting their findings from their work this year, including topics which affect our industry. The day will also welcome industry expert speakers.
This event is free for PIMFA members to attend.
If you are interested in attending please contact the team on events@pimfa.co.uk – places are limited and will be allocated on a first-come, first-served basis.
Event Details:
Date: 13 December 2023
Times: 14:00 – 18:00
Venue: Fidelity International, 4 Cannon Street. EC4M 5AB

PIMFA Webinar: Subject Access Requests: How To Recognise, Handle and Respond Proportionately!
2023-12-12 11:00 - 12:00
According to a recent survey, ‘60% of professionals surveyed across financial services have reported an increase in DSARs over the past year’ and ‘51% have received complaints from data subjects about a data subject access request (DSARs)’.
This is not surprising – customers and clients who are unhappy, or want to find out information which is held on them, are more cognisant than ever of their rights under DSARS, and very few employee disputes these days come unaccompanied by a DSAR.
Given this, and the fact that DSARs can be a significant drain on resources and can (very importantly) lead to the provision of information and documentation which was never intended to be made public, they need to be managed carefully.
In this FREE 60-minute webinar, Richard Preece will speak to Chris Holme and Sarah Riceman from Clyde & Co. They have been managing DSARs (including in relation to large disputes), and complaints, between them for 20 years – and have a huge body of experience around how to manage DSARs, the legal requirements, and the ICO’s expectations. They will discuss how PIMFA member firms can:

React and respond to a DSAR with professionalism and speed
Ensure they are correctly identifying and redacting information so as to not disclose any information the requester is not entitled to
Identify when a request is manifestly unfounded and excessive and respond appropriately
Regardless of size, have effective management in place to efficiently respond to DSARs
Be prepared for any regulatory scrutiny and enforcement action when handling DSARs

PIMFA Webinar: Authentic Leadership Programme 'Find out more' November 2023-2
2023-12-04 12:45 - 13:45
We would like to invite you to discover more about PIMFA’s ‘Authentic Leadership: How to Thrive as a Female Leader in Wealth and Finance’ programme with this FREE 60 minute, no obligation webinar.
In this webinar with executive coach Caroline Holt, you will:
• Find out if the programme is appropriate for you or your colleagues
• Hear about women graduates who have completed the programme
• Get your questions answered about the programme – what you will get from it, how it all works, the admission process and fees
• Discover how this programme differs from other Women in Leadership programmes for women

PIMFA Webinar: Authentic Leadership Programme 'Find out more' January 2024
2023-12-04 12:45 - 13:45

PIMFA Webinar: The Autumn Statement: What are the implications for retail investors and a future general election?
2023-11-27 15:00 - 16:00
The Chancellor has announced that the 2023 Autumn Statement will occur on Wednesday, 22 November 2023. The Autumn statement updates the government’s plans for the economy. This Autumn budget is of particular interest based on a possible general election being called in 2024.
Join Iona Martin, Head of Private Banking Tax, KPMG, and David Ostojitsch, Director of Government Relations and Policy, PIMFA, for a comprehensive update on what the Autumn budget statement includes and what it means for you, your firm, clients, and the wealth management and advice industry.
Please note this webinar is for PIMFA Members only

PIMFA Webinar: M&A in Wealth Management: Trends, Challenges and Opportunities
2023-11-23 11:00 - 12:00
Whether your firm is preparing to acquire or ready to sell, implementing a best practice approach to M&A is very often what separates long-term value creation from value destruction.
In this FREE 60-minute webinar discussion, industry advisors Maurice McDonald, Director at Cosegic, alongside Anthony Turner and Andy Peterkin, Partners at the law firm Farrer & Co., specialists in sale and acquisitions, outline the strategic issues PIMFA member firms should know to enable them to realise value from transactions.
Key topics for discussion include:
1. How M&A deals are shaking up the industry.
2. What really support a deal’s price.
3. Making a success of M&A deals.

PIMFA Webinar: Imposter or talented over-achiever? Nov 2023
2023-11-09 13:00 - 14:30
Even though you’ve achieved some success in your career, do you sometimes feel like an imposter?
The Imposter Syndrome is now recognised as a commonplace work experience – especially for career women. It has them attributing their success to luck, discounting their capabilities and fearing being ex-posed as a fraud. They constantly strive for better results and are generally high achievers as a result – all-though are very unlikely to recognise this.
However, this over-achieving can lead to burn-out from an overly driven need to succeed. Or, fear of failure and being found out as a fraud can stop them from stepping up to opportunities that will help them develop their skills, gain experience and progress their careers. Sheryl Sandberg (COO of Facebook and author of ‘Lean In: Women, Work, and the Will to Lead’) says that, to lean in fully, women need to get comfortable with their success. When women fully own and appreciate their value, they can, then, denounce the demands and accusations of their internal ‘imposter gremlin’ and embrace and enjoy success.
Webinar structure:
During this interactive session, we will investigate the Imposter Syndrome – what it is, how it can impact performance and how to shift the attitudes that underpin it. You will have the opportunity to explore the impact of the Imposter Syndrome both at a personal level and more widely. Coach and trainer, Caroline Holt, will share a simple-to-use and very effective technique for recognising and appreciating your own capabilities and helping others to do the same. You will have the opportunity to practise this during the webinar.
Webinar take-aways:
• A greater recognition and appreciation of the value that you bring to a project or organisation
• Increased motivation to reach for more
• A powerful technique in your toolkit for building core confidence and inspiring yourself and others to step up to bigger challenges

Ready Steady Grow! Oxford - Thursday 2nd November
2023-11-02 16:00 - 19:30
At Thatcher Business Education Centre, Saïd Business School, Lecture Theatre VI (Intesa Sanpaolo) we are bringing together small businesses, investors, IFAs, entrepreneurs and business advisers – all in one place to hear expert opinion from SME industry experts.
The event is split into two parts – a technical seminar at 16.30, followed by a breakout session and networking from 17.30
Ready Steady Grow Oxford – sign up here
Registration from 4pm.
Seminar Agenda (CPD qualifying) TBC.
Here’s an overview of this year’s entire series of Ready Steady Grow! events:
Edinburgh (29 Aug), Birmingham (20 Sep), Cardiff (27 Sep), Bristol (28 Sep), Manchester (4 Oct), Leeds (10 Oct), Cambridge (11 Oct), Newcastle (17 Oct), Belfast (19 Oct), Oxford (2 Nov)
If you have any queries or would like to attend please contact Mary Rodgers on mary.rodgers@eisa.org.uk
FAQs:
Who should attend this event?
Entrepreneurs looking to start a business, or access funding to take your business to its next level
Wealth managers looking to gain knowledge and expertise in EIS and small company investing
Investors looking to invest in the ‘Next big thing’
Professional Advisors who want to help SMEs develop and grow.
Will refreshments be provided?
Drinks and canapés will be provided
***
We, the EISA, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. Before we disclose personal data to a third party, we take appropriate steps to ensure that the third party will protect personal data in accordance with applicable privacy laws and in a manner consistent with our privacy policy, which can be accessed here: https://eisa.org.uk/about-eisa/privacy-policy
THANK YOU TO OUR SPONSORS:
British Business Bank, Charles Stanley, Committed Capital, Mills & Reeve, SFC Capital and Wellers

Reinforcing Customer Centricity: How Your Firm Can By July 2023, Meet The Exacting Standards Customer Support And Consumer Understanding Under Consumer Duty
2023-11-02
It’s too easy for PIMFA Member Firms to assume that their current suitability checks and approaches to assessing a client’s investment preferences will stand up to regulatory scrutiny through the lens of Consumer Duty.
In a matter of months, the FCA requires you to be able to evidence that your firm is putting themselves ‘in the shoes of your customers’, acting in good faith, avoiding causing foreseeable harm and enabling customers to achieve their financial objectives.
Consumer Duty requires role relevant training, rather than a tick box approach to learning. To that end, this one day in house training course, personalised to your specific needs, takes your advisors through step by step through a framework they can adopt to improve their approach to client suitability, the critical component in your firm’s ability to meet the Duty’s two outcomes on customer support and consumer understanding.
But even a proven framework won’t help your firm meet the regulators standards, if the new skills don’t stick. That’s why we give your advisors the confidence, tools and support they need to talk with their clients about their values, motivations and ambitions, moving beyond the current approach to suitability.
What We Cover
In this live, bespoke interactive, tutor led one day training course, we take you through how you can:

Update your current approach to suitability to align with the new Consumer Duty before the 31st July to help to meet two of the outcomes of the regulations – customer support and consumer understanding
Deploy ‘ready to use’ approaches your advisors and wealth managers can immediately use to evidence a clearer and higher standard of care to the regulator, while meeting client needs and expectations.
Achieve genuine competitive advantage in client experience giving you the tools and support you need to build the capabilities of your client facing teams.
Leverage Consumer Duty as a catalyst for commercial growth based on growing a values-based purpose driven wealth management business.
Enhance your firms Reputation as a market leader, allowing you to become the best in class for client centric approaches to Consumer Duty.
Upskill your workforce to Retain the best talent in the field allowing them to form greater bonds with clients.

Post Course Coaching
A highlight of this training course is the inclusion of follow up coaching to support the implementation of the key learnings of this training course within your firm. Alongside your coach, you will discuss your action plan for executing your newly learnt approaches, putting in organisation wide measures to help overcome expected or unexpected execution obstacles and creating a long term strategy that will keep you ahead of any further regulatory changes.
Who should attend?
This course is designed for firms to put in place the essential ingredients support commercial growth and to meeting two of the Consumer Duty outcomes on customer support and consumer understanding and their client facing professional advisors who will lead in delivering a customer centric service. This training is invaluable to:

Heads of Sales who, looking to build and maintain a strong sales pipeline, want their team to develop a deeper level of engagement, based on their values with both prospects and existing clients.
Training & Competency Supervisors who want to deliver role relevant consumer duty training for their financial advisors, wealth managers or financial planners.
Compliance Heads and Senior Management who need to grasp the key role advisors play in achieving Consumer Duty compliance.

Trainers
John Pepin, CEO, Philanthropy Impact
John is Chief Executive of Philanthropy Impact. Its purpose is to increase the flow of capital for good by enabling to HNW and UHNW private clients and their families to match their purpose driven wealth strategies with their values capturing their ESG/impact investment and philanthropic preferences. It achieves this by working with professional private client advisors (wealth management, private banking, independent financial advice, tax and legal sectors) to ultra-high net worth and high net worth individuals to grow and enhance the quality of the support they give to their clients. The network also includes individual philanthropists and social investors, trusts and foundations, charities and social enterprises. The organisation acts as a knowledge hub and centre of excellence realising its vision by means of thought leadership and sharing intelligence, events, CPD Certified and CISI Endorsed training, bespoke networking opportunities, government liaison, publications including a magazine, and resources for advisors and other stakeholders.
Experienced senior level practioners from the wealth management industry will support John deliver this training course.
Register Your Interest
Simply fill in the form below and click Submit to register your interest in this course.
Please select a valid form

Ready Steady Grow! Belfast - Thursday 19th October
2023-10-19 16:00 - 19:30
At KPMG, The Soloist Building, 1 Lanyon Place, Belfast, BT1 6DH we are bringing together small businesses, investors, IFAs, entrepreneurs and business advisers – all in one place to hear expert opinion from SME industry experts.
The event is split into two parts – a technical seminar at 16.30, followed by a breakout session and networking from 17.30
Ready Steady Grow Belfast – sign up here
Registration from 4pm.
Seminar Agenda (CPD qualifying) TBC.
Here’s an overview of this year’s entire series of Ready Steady Grow! events:
Edinburgh (29 Aug), Birmingham (20 Sep), Cardiff (27 Sep), Bristol (28 Sep), Manchester (4 Oct), Leeds (10 Oct), Cambridge (11 Oct), Newcastle (17 Oct), Belfast (19 Oct), Oxford (2 Nov)
If you have any queries or would like to attend please contact Mary Rodgers on mary.rodgers@eisa.org.uk
FAQs:
Who should attend this event?
Entrepreneurs looking to start a business, or access funding to take your business to its next level
Wealth managers looking to gain knowledge and expertise in EIS and small company investing
Investors looking to invest in the ‘Next big thing’
Professional Advisors who want to help SMEs develop and grow.
Will refreshments be provided?
Drinks and canapés will be provided
***
We, the EISA, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. Before we disclose personal data to a third party, we take appropriate steps to ensure that the third party will protect personal data in accordance with applicable privacy laws and in a manner consistent with our privacy policy, which can be accessed here: https://eisa.org.uk/about-eisa/privacy-policy
THANK YOU TO OUR SPONSORS:
British Business Bank, Charles Stanley, Deepbridge Capital, KPMG, Octopus Ventures, Ormeau Baths, RW Blears and Sapphire Capital Partners

Ready Steady Grow! Newcastle - Tuesday 17th October
2023-10-17 16:00 - 19:30
At Newcastle Helix, Newcastle upon Tyne, NE4 5TF we are bringing together small businesses, investors, IFAs, entrepreneurs and business advisers – all in one place to hear expert opinion from SME industry experts.
The event is split into two parts – a technical seminar at 16.30, followed by a breakout session and networking from 17.30
Ready Steady Grow Newcastle – sign up here
Registration from 4pm.
Seminar Agenda (CPD qualifying) TBC.
Here’s an overview of this year’s entire series of Ready Steady Grow! events:
Edinburgh (29 Aug), Birmingham (20 Sep), Cardiff (27 Sep), Bristol (28 Sep), Manchester (4 Oct), Leeds (10 Oct), Cambridge (11 Oct), Newcastle (17 Oct), Belfast (19 Oct), Oxford (2 Nov)
If you have any queries or would like to attend please contact Mary Rodgers on mary.rodgers@eisa.org.uk
FAQs:
Who should attend this event?
Entrepreneurs looking to start a business, or access funding to take your business to its next level
Wealth managers looking to gain knowledge and expertise in EIS and small company investing
Investors looking to invest in the ‘Next big thing’
Professional Advisors who want to help SMEs develop and grow.
Will refreshments be provided?
Drinks and canapés will be provided
***
We, the EISA, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. Before we disclose personal data to a third party, we take appropriate steps to ensure that the third party will protect personal data in accordance with applicable privacy laws and in a manner consistent with our privacy policy, which can be accessed here: https://eisa.org.uk/about-eisa/privacy-policy
THANK YOU TO OUR SPONSORS:
British Business Bank, CT Accountants Advisors, Par Equity and Ward Hadaway

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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