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DTSTART;TZID=Europe/London:20250212T140000
DTEND;TZID=Europe/London:20250212T180000
DTSTAMP:20260420T125219
CREATED:20241213T121001Z
LAST-MODIFIED:20251113T165931Z
UID:319569-1739368800-1739383200@www.pimfa.co.uk
SUMMARY:PIMFA Under 40 Forum 2025
DESCRIPTION: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.\nIts 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.\nAt 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. \nThis year’s group are researching the following topics\, the results of their findings will be presented at the event on February 12th: \n1. Does the industry focus on cost undermine value?\n2. How can firms better target other demographics to improve their long term viability?\n3. How do M&A affect existing and prospective client outcomes? \nEvent details:\nDate: 12 February 2025\nTiming: 14:00 – 18:00\nPlease contact events@pimfa.co.uk if you’d like to attend.
URL:https://www.pimfa.co.uk/event/pimfa-under-40-forum-2025/
CATEGORIES:Briefing,PIMFA Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250210T093000
DTEND;TZID=Europe/London:20250210T123000
DTSTAMP:20260420T125219
CREATED:20241213T130137Z
LAST-MODIFIED:20251120T162331Z
UID:319585-1739179800-1739190600@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Training: Operational Resilience Self-Assessment: Writing and preparing your document to meet the FCA’s March 2025 deadline
DESCRIPTION:Are you ready to demonstrate operational resilience by 31 March 2025? \nBe 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. \nAnd 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. \nHelping you get your report right first time \nIn 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: \n1. 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. \n2. 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. \n3. 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. \n4. 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. \n5. 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. \nWho should attend this course? \n• Board members who have questions or doubts about their firm’s Self-Assessment seek assurances that ‘nothing has been missed’ before approval is given. \n• 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. \n• Heads of Operational Risk and Compliance looking to benchmark with their peers how their firm evidences the effects of disruptions and ensure financial stability. \nBring a colleague along for free!  \nUse voucher code XCEMPQ5U at checkout for 50% 2 tickets!
URL:https://www.pimfa.co.uk/event/pimfa-live-online-training-operational-resilience-self-assessment-writing-and-preparing-your-document-to-meet-the-fcas-march-2025-deadline/
CATEGORIES:Learning,Live Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250130T103000
DTEND;TZID=Europe/London:20250130T113000
DTSTAMP:20260420T125219
CREATED:20250120T112158Z
LAST-MODIFIED:20250120T112158Z
UID:320472-1738233000-1738236600@www.pimfa.co.uk
SUMMARY:Operational Resilience: Protect Investors & Enhance Compliance
DESCRIPTION:Disruptions to critical\, or important business services can have far-reaching consequences not just for the financial services\, but national economies and consumers. \nIn 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. \nFor further information click here.
URL:https://www.pimfa.co.uk/event/operational-resilience-protect-investors-enhance-compliance/
CATEGORIES:Industry Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250130T100000
DTEND;TZID=Europe/London:20250130T110000
DTSTAMP:20260420T125219
CREATED:20250122T114954Z
LAST-MODIFIED:20250122T114954Z
UID:321036-1738231200-1738234800@www.pimfa.co.uk
SUMMARY:O-IM Three Years Of Solid Performance
DESCRIPTION: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. \nFor more information contact john.muir@o-im.co.uk\, 07821 535587 or click here.
URL:https://www.pimfa.co.uk/event/o-im-three-years-of-solid-performance/
CATEGORIES:Industry Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250129T100000
DTEND;TZID=Europe/London:20250129T120000
DTSTAMP:20260420T125219
CREATED:20241107T101257Z
LAST-MODIFIED:20260112T171440Z
UID:317985-1738144800-1738152000@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Non-Financial Misconduct: Guidance and Toolkit To Avoid Non Compliance
DESCRIPTION: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’. \nIn 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. \nImmediately 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. \nAttending this session and leveraging the resources will give you the knowledge and confidence to: \n1. Ready your firm for anticipated new rules on NFM.\n2. Align your firm’s whistle-blowing policy\, reporting process and procedure to the regulators expectations\n3. Recognise and escalate NFM incidents appropriately\n4. Manage NFM incidents\n5. Ensure regular communications between the HR and compliance teams to deal with and manage NFM incidents\n6. Assess what may amount to ‘serious’ misconduct\n7. Accurately record NFM incidents\n8. Understand when NFM should be reported to the FCA \nWhat you’ll cover in the session: \n– Overview of Non-Financial Misconduct (NFM)\n– FCA’s Stance on Non-Financial Misconduct\n– Regulatory Framework and Guidelines\n– Compliance Obligations for PIMFA member firms\n– Key Responsibilities of Senior Managers\n– Reporting and Documentation Requirements\n– Implementing Effective Policies and Procedures\n– Approaches to creating a Positive Organisational Culture\n– Establishing Clear Conduct Standards\n– Training and Awareness Programs\n– Monitoring/measuring culture\n– Whistleblowing\, complaints handling and investigations\n– Discipline for NFM\n– Regulatory references\n– Reporting to the FCA\n– Interactive Case Studies of Non-Financial Misconduct in Financial Services\n– Lessons Learned from Past Incidents\n– Best Practices for Mitigating Non-Financial Misconduct\n– Successful Strategies from Leading Firms\n– Continuous Improvement and Learning\n– Monitoring and assessments\n– Q&A Session \nWho Should Attend: \n• Compliance and Conduct leaders seeking guidance on how to:\n– Deal with allegations of non-financial misconduct\n– Recognise whether NFM is an isolated incidence or an indicator of a wider culture issue \n• 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. \n• In-house counsel who seek assurance of when and how to respond to allegations of non-financial misconduct. \nThis training course will take place IN PERSON at the DAC Beachcroft London Office located at 25 Walbrook\, London EC4N 8AF \n  \nBring a colleague along for free! \nUse VOUCHER CODE  BG3N8AKH at checkout to claim this buy-one-get-one-free offer! \n  \nThis voucher can only be used when purchasing 2 full price tickets
URL:https://www.pimfa.co.uk/event/pimfa-learning-non-financial-misconduct-guidance-and-toolkit-to-avoid-non-compliance/
CATEGORIES:Learning,Live Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250128T140000
DTEND;TZID=Europe/London:20250128T170000
DTSTAMP:20260420T125219
CREATED:20241127T083822Z
LAST-MODIFIED:20251113T155816Z
UID:318906-1738072800-1738083600@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Customer Vulnerability: Applying and Implementing PIMFA’s guidance in your firm
DESCRIPTION: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. \nThis 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: \n\nEmbed a focus on vulnerability into their strategy and culture.\nEnsure 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.\nAccount for customer vulnerability in product and service design.\nActively monitor customer behaviour and consider potential vulnerability in customer interactions.\nSupport and enable customers with characteristics of vulnerability to disclose their needs.\nCapturing and retrieving information about vulnerability during subsequent customer interactions\n\nBy enrolling on this course\, you’ll be able to answer with confidence the following questions: \n\nHow do you identify customer vulnerability\, and what criteria do you use for this assessment?\nWhat specific support mechanisms are in place to assist customer vulnerability throughout their interaction with your firm?\nHow do you tailor and test communication strategies to ensure that customers with vulnerable characteristics understand the products and services offered?\nAre your services and communications accessible to all customers\, including those with disabilities or other barriers?\nHow do you monitor the effectiveness of your support for customer vulnerability\, and what metrics do you use?\nWhat procedures do you have in place for escalating the needs of customers with characteristics of vulnerability to senior management or specialised teams?\nHow do you ensure that products and services offered to customers with vulnerable characteristics appropriately meet their needs?\n\nWho Should Attend: \n\nSMF 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.\nSales & Marketing Directors tasked with ensuring that the firm’s financial promotions and customer communications don’t exploit vulnerable consumers.\nCompliance and Risk leaders that want a proven framework to better recognise\, assess\, and manage potential risks related to customers with characteristics of vulnerability .\nRegulatory 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.\n 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.\n\nOffer: Bring your colleague along for free – please enter code 6JZWEFP5 at checkout.
URL:https://www.pimfa.co.uk/event/pimfa-learning-customer-vulnerability-applying-and-implementing-pimfas-guidance-in-your-firm/
CATEGORIES:Learning,Live Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;VALUE=DATE:20250128
DTEND;VALUE=DATE:20250129
DTSTAMP:20260420T125219
CREATED:20241119T132753Z
LAST-MODIFIED:20251029T134845Z
UID:318412-1738022400-1738108799@www.pimfa.co.uk
SUMMARY:PIMFA Learning: The SMF Regulatory Briefing Programme 2025 - All You Need to Know About Everything That Matters Most
DESCRIPTION:What the FCA expects from Senior Managers \nThe 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. \nRemaining Fit and Proper \nBut 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. \nThe solution \nPIMFA’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: \n\nKeep up to date with the latest regulatory trends and initiatives\nDemonstrate their commitment to regulatory proficiency\nAccess the training at a convenient time\, through our on-demand learning platform\nDocument CPD activity as required\n\nHighlights and key outcomes \nBy enrolling on ‘The SMF Regulatory Briefing Programme 2025’\, SMFs will be able to: \n\nEvidence to the FCA their in-role competency and capability required under SMCR.\nRapidly assess the firm’s compliance exposure and vulnerabilities.\nGet ahead and make sense of a broad\, complex\, and ever-evolving regulatory and compliance landscape.\nSet priorities to develop a proactive regulatory change management programme.\nLead your firm on how best to mitigate risks\, create a firm-wide compliance culture\, make sound decisions\, and build resilience across the business.\nImprove their strategic thinking and ability to respond to regulatory change effectively.\nExplore with peers the latest research and best practices for managing risk to safeguard enterprise value.\n\nSession format \nEach session includes a mix of expert-led presentations\, real-world case studies and small group discussions. \nProgramme topics and schedule \nThrough 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. \nFormat: 12 x 1-hour monthly sessions \nDelivery: Live\, expert-led online learning sessions \nStart date: 28 Jan 2025 – 11th Dec 2025 \nDuration: 12 months
URL:https://www.pimfa.co.uk/event/pimfa-learning-the-smf-regulatory-briefing-programme-2025-all-you-need-to-know-about-everything-that-matters-most/
CATEGORIES:Learning,Programmes
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LOCATION:
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250121T110000
DTEND;TZID=Europe/London:20250121T120000
DTSTAMP:20260420T125219
CREATED:20241107T100118Z
LAST-MODIFIED:20251118T162150Z
UID:317999-1737457200-1737460800@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: CASS Skilled Person Review: How to Respond\, Tackle and Avoid Action
DESCRIPTION: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. \nEven 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. \nIn 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: \n1. ‘Help\, we’ve got a s166 notice!’\n2. What to do if The FCA commissions a s166 review\n3. How to get the most from a CASS s166 review\n4. The costs of a skilled person review\n5. The foolishness or wisdom of challenging the findings of a s166 review\n6. The most effective strategies to avoid a skilled person review \n  \n  \n  \n 
URL:https://www.pimfa.co.uk/event/pimfa-webinar-cass-skilled-person-review-how-to-respond-tackle-and-avoid-action/
CATEGORIES:Learning,Webinars
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250114T110000
DTEND;TZID=Europe/London:20250114T120000
DTSTAMP:20260420T125219
CREATED:20241107T095055Z
LAST-MODIFIED:20251118T162321Z
UID:317299-1736852400-1736856000@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: CASS: The calm before the s166 storm
DESCRIPTION: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. \nIn 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.\nTo avoid a painful and costly review of your CASS governance and oversight arrangements\, our panel our experts discuss: \n1. How the FCA is conducting routine supervisory activities on your approach to CASS in 2024. \n2. How the regulator uses data from regulatory submissions and reports to assess and manage your firm’s CASS risks. \n3. How a firm’s CASS compliance breaches informs the FCA’s decision-making process. \n4. How to identify and assess issues that could lead to a s166 review of your firm’s CASS culture\, governance\, and organisational arrangements. \n5. How to proactively use market intelligence\, thematic reviews\, and inspections to eliminate weaknesses in your CASS environment.
URL:https://www.pimfa.co.uk/event/pimfa-webinar-cass-the-calm-before-the-s166-storm/
CATEGORIES:Learning,Webinars
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241128T123000
DTEND;TZID=Europe/London:20241128T133000
DTSTAMP:20260420T125219
CREATED:20241120T164951Z
LAST-MODIFIED:20241120T164951Z
UID:318245-1732797000-1732800600@www.pimfa.co.uk
SUMMARY:How employers can manage the increasing mental health issues amongst younger workers
DESCRIPTION:Contact details: Stephanie Pollard (stephanie.pollard@clydeco.com) | +44 7843 833 106 \nMental 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. \nJoin 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 💼 \nOur 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. \n📆 28 November\, 12:30-1:30PM GMT
URL:https://www.pimfa.co.uk/event/how-employers-can-manage-the-increasing-mental-health-issues-amongst-younger-workers/
CATEGORIES:Industry Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241126T160000
DTEND;TZID=Europe/London:20241126T193000
DTSTAMP:20260420T125219
CREATED:20241029T084346Z
LAST-MODIFIED:20241029T084346Z
UID:317449-1732636800-1732649400@www.pimfa.co.uk
SUMMARY:Ready Steady Grow! Oxford\, 26th November 2024
DESCRIPTION:  \n \nReady Steady Grow! is an event for the investment ecosystem in Oxford \nEISA is back in Oxford for another event that brings the EIS and VC ecosystem together to learn and connect. \nJoin us as the Enterprise Investment Scheme Association (EISA) returns for a session supporting everyone in the investment space\, from founders to funds. \nDate: 26th November\, 2024\, registration from 16:00 BST \nVenue: Saïd Business School\, Park End St\, Oxford OX1 1HP \nRegister for this Ready Steady Grow event here. \nWhat is Ready Steady Grow? \nThese events\, brought to you by the Enterprise Investment Scheme Association\, bring together small businesses\, investors\, IFAs\, entrepreneurs and business advisers. The session will feature networking as well as panels of regional experts. \nReady Steady Grow events are designed to help each region of the UK with their EIS journey with a carefully constructed agenda featuring opinions from SME industry experts. \nAgenda\nThe event is split into two parts – a technical seminar at 16:30\, followed by a breakout session and networking from 17:30. \nThe agenda is yet to be released. \nHowever\, you can be sure there will be content and speakers to help you on your EIS journey\, wherever you are in the ecosystem. Keep your eye on this page for updates! \nThere will also be opportunities to network over drinks and canapes. \nWe are very grateful to our sponsors for this event.\nThank you to British Business Bank\, Charles Stanley\, Oxford Capital and Saïd Business School. \nIf you would be interested in sponsoring\, please get in touch with the team here. \nFrequently Asked Questions about Ready Steady Grow! \nWhere else can you attend a Ready Steady Grow! event? \nThroughout the autumn\, we will be visiting cities across the UK. You can explore the full calendar here. \nWho should attend this event? \n\nEntrepreneurs looking to start a business\, or access funding to take your business to its next level\nWealth managers looking to gain knowledge and expertise in EIS and small company investing\nInvestors looking to invest in the ‘next big thing’\nProfessional Advisors who want to help SMEs develop and grow\n\nIf you want to join\, but don’t feel like you fit in these categories\, get in touch with the team. \nWill refreshments be provided? \nDrinks will be available throughout\, and canapés will be available during the networking section of the event. \nYour data \nWe\, the EISA\, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. \nBefore 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
URL:https://www.pimfa.co.uk/event/ready-steady-grow-oxford-26th-november-2024/
CATEGORIES:Industry Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241126T140000
DTEND;TZID=Europe/London:20241126T150000
DTSTAMP:20260420T125219
CREATED:20241008T093936Z
LAST-MODIFIED:20251119T162614Z
UID:316765-1732629600-1732633200@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: What Senior Managers Need To Know
DESCRIPTION:FCA fines against firms and individuals totalling £87 million so far in 2024 indicate a serious knowledge gap among senior managers in financial services firms. They are often unprepared and overwhelmed to interpret and respond appropriately to the volume and complexity of regulatory change for which they are responsible. \nIn this FREE 60-minute webinar\, experts from CCL Academy unpack what you\, as a newly appointed or current senior manager\, need to know to make better and more informed decisions to meet the rising expectations of staff\, your board\, and the regulator. \nKey discussion points include: \n1. What recent FCA fines tell us what senior managers need to learn in 2025. \n2. The three most common knowledge gaps found among senior managers which expose their firms to severe risks and uncertainties. \n3. How smart leaders build the breadth and depth of their regulatory knowledge to make better holistic decisions for their firm.
URL:https://www.pimfa.co.uk/event/pimfa-webinar-what-senior-managers-need-to-know/
CATEGORIES:Learning,Webinars
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/10/iStock-613216824-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241120T093000
DTEND;TZID=Europe/London:20241120T123000
DTSTAMP:20260420T125219
CREATED:20240717T104252Z
LAST-MODIFIED:20251113T161811Z
UID:312303-1732095000-1732105800@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Learning: Mastering Your Ongoing Compliance with Consumer Duty
DESCRIPTION:The FCA review of Consumer Duty implementation within payment firms published in October 2024 found that just over half were satisfactory\, while nearly half were categorised as needing “significant work” to meet the Duty’s requirements. In yet another reminder\, the FCA expects your firm to identify gaps in your compliance with the Duty and “act immediately\, putting plans in place to address shortcomings.” \nIn this live\, tutor-led online training masterclass\, led by consultancy firm Square 4\, our tutors will help you demonstrate that the FCA’s latest guidance has been considered\, identifying gaps\, shortfalls\, and actions required to evidence that your firm is meeting their ongoing obligations with the Duty. \nBy the end of this masterclass\, you’ll be able to: \n\nAssess and prioritise the tasks your firm’s needs to undertake to ensure alignment with FCA’s ongoing Consumer Duty expectations.\nRectify and remediate the gaps in your MI and data to ensure you meet the regulatory expectations.\nEnhance processes and controls to monitor customer outcomes across your customers\, including those with vulnerability.\nImplement processes to amend and adapt products and communications where risks of potential harm are identified.\nOvercome common challenges\, weaknesses and failings Square 4 has observed in firms’ approach to outcomes monitoring and testing.\nAssure your Consumer Duty champion and senior managers that your firms’ policies\, process and people are in line with industry best practices.\nEnsure that your firm has effective Consumer Duty centric reporting and governance arrangements in place.\nEnsure that your firm is able to effectively identify and proactively remediate and crystallised or potential consumer harm.\n\nIn this masterclass you’ll cover: \n\nAn effective 3LOD model to ensure Consumer Duty compliance\nThe importance of clear roles\, accountabilities and responsibilities\nEffective outcomes monitoring / testing frameworks\nConsumer Duty MI and data requirements\nEffective governance\, reporting and remediation practices\n\nWho should attend: \n\nC-level officers concerned about their firm’s ability to create and maintain the Consumer Duty cultural shift.\nConsumer Duty champions seeking to understand what good ongoing compliance practice looks like and benchmark their firm.\nCompliance leaders who are not content with standing still are looking to undertake a range of activities to address identified poor outcomes as well as improve the testing methodology and processes.\nRegulatory risk professionals and in-house auditors who want a better understanding of what processes\, reporting\, governance and controls should be in place.\n\nPlease use early bird coupon JDJNEGB5 at checkout for 50% off 2 Tickets \nIf 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.
URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-mastering-your-ongoing-compliance-with-consumer-duty/
CATEGORIES:Learning,Live Learning
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/02/daiga-ellaby-CBJDURrRKA-unsplash-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241119T110000
DTEND;TZID=Europe/London:20241119T120000
DTSTAMP:20260420T125219
CREATED:20240126T094441Z
LAST-MODIFIED:20251119T172410Z
UID:305950-1732014000-1732017600@www.pimfa.co.uk
SUMMARY:The PIMFA HR Briefing 2024- Session 4: AI and Employment Law: Navigating the future of work
DESCRIPTION:AI has already begun changing the way we work\, and further change in the coming years is inevitable.  The FCA and PRA have outlined their strategic approaches to AI regulation\, focusing on promoting safe and responsible use while fostering innovation. Meanwhile\, the Equality and Human Rights Commission (EHRC) has indicated that it will be focussing on the use of AI in recruitment and developing solutions to address bias and discrimination in AI systems. \nThe Labour government has also indicated it will be considering how to promote best practice in safeguarding against threats to privacy through surveillance technology\, spy ware and discriminatory algorithmic decision-making.  While AI will no doubt open a number of opportunities for employers\, its increased use will also come with risks\, and it is important that employers grapple with these from an early stage. \nIn November’s HR forum\, we explore what AI means for HR and employment law with Clyde & Co’s employment team. \n Key topics will include: \nThe regulators’ strategies for the regulation of AI in financial services \nAI in HR procedures – hiring\, day-to-day work\, and redundancies and dismissals \nRisks in relation to discrimination and data protection \nRecent cases and lessons learnt \nWhat does this mean for HR going forward? \nDon’t miss this opportunity at 11am on 19 November 2024 to gain valuable insights and get your questions answered by Chris Holme and Shadia El Dardiry. \n 
URL:https://www.pimfa.co.uk/event/the-pimfa-hr-briefing-2024-session-1-2-2-2/
CATEGORIES:HR Briefing,Learning
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241118T110000
DTEND;TZID=Europe/London:20241118T120000
DTSTAMP:20260420T125219
CREATED:20241024T121825Z
LAST-MODIFIED:20251118T162504Z
UID:317352-1731927600-1731931200@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: Client Vulnerability: Meeting and Exceeding FCA Expectations
DESCRIPTION:Against a backdrop of changing customer expectations and needs\, regulatory fines\, Dear CEO letters and frequent regulatory announcements\, the need for Wealth Managers\, Private Banks\, and Financial Advice and Planning Firms to deliver improved outcomes for customers with characteristics of vulnerability has never been greater. \nBut just what is expected of firms?   What does ‘vulnerability’ really mean for our sector\, clients\, and work?   And how do we take realistic\, relevant\, and proportionate action to address it? \nTo ensure your firm’s approach to the identification\, treatment\, and outcomes monitoring of customers in vulnerable circumstances meets the FCA’s forthcoming guidance and expectations\, we discuss with Christ Fitch\, Vulnerability Lead Consultant\, The Money Advice Trust  how your firm can: \n\nDesign\, execute and transform your strategy and operating model to better deliver for customer vulnerability.\nAlign your approach to customer vulnerability with industry best practices.\nImplement new approaches to understanding\, managing\, and serving customer vulnerability.\nCreate a commercially realistic and impactful plan for dealing with your firm’s most critical challenges for customers with characteristics of vulnerability.
URL:https://www.pimfa.co.uk/event/pimfa-webinar-client-vulnerability-meeting-and-exceeding-fca-expectations/
CATEGORIES:Learning,Webinars
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241113T080000
DTEND;TZID=Europe/London:20241113T170000
DTSTAMP:20260420T125219
CREATED:20241120T165016Z
LAST-MODIFIED:20241120T165016Z
UID:318246-1731484800-1731517200@www.pimfa.co.uk
SUMMARY:How employers can manage the increasing mental health issues amongst younger workers
DESCRIPTION:Contact details: Stephanie Pollard (stephanie.pollard@clydeco.com) | +44 7843 833 106 \nMental 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. \nJoin 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 💼 \nOur 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. \n📆 28 November\, 12:30-1:30PM GMT
URL:https://www.pimfa.co.uk/event/how-employers-can-manage-the-increasing-mental-health-issues-amongst-younger-workers-2/
CATEGORIES:Industry Events
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/11/austin-neill-wQz3vdyueDE-unsplash-1-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241112T170000
DTEND;TZID=Europe/London:20241112T180000
DTSTAMP:20260420T125219
CREATED:20241120T165155Z
LAST-MODIFIED:20241120T165155Z
UID:318105-1731430800-1731434400@www.pimfa.co.uk
SUMMARY:Increasing pay transparency and pay equity: a global issue
DESCRIPTION:Pay transparency\, both as a value in itself and as an element of pay equity\, is rapidly becoming a pivotal issue across the globe. Driven by legislation\, regulatory activity\, and cultural expectations\, the rapid pace of change makes it essential for organisations to stay informed and prepared. \nIn this session our panel of lawyers from the U.S.\, UK\, Ireland and Belgium will review the trends in pay equity and transparency across the globe\, providing insights into possible future directions of pay transparency and equity measures. \nWe will also more specifically explore the current status of pay transparency/equity requirements in the U.S.\, UK and in the EU\, including in relation to the EU Pay Transparency Directive\, and will then consider how in practice organisations are addressing compliance requirements on an international scale. \nKey topics will include: \n– The history and evolution of pay transparency and its relationship with pay equity\n– Where we are now in key jurisdictions and a comparative analysis of practices in the U.S.\, the EU\, the UK amongst others\n– Practical steps and strategies for organisations\n– Future trends and what organisations need to be doing to plan for the future \nWho should attend this session? \nThis webinar will be of interest to HR directors/managers\, in-house counsel\, and compliance professionals from global organisations particularly those with responsibility for operations in the U.S.\, UK and Europe.
URL:https://www.pimfa.co.uk/event/increasing-pay-transparency-and-pay-equity-a-global-issue/
CATEGORIES:Industry Events
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/10/iStock-613216824-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241111T110000
DTEND;TZID=Europe/London:20241111T120000
DTSTAMP:20260420T125219
CREATED:20251119T095910Z
LAST-MODIFIED:20251119T095910Z
UID:312390-1731322800-1731326400@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: Harnessing the Power of AI to Transform Wealth Management
DESCRIPTION:AI promises so much\, but does it really delivery for wealth management?  In this FREE live 60-minute session our experts get beyond the hype to show you how AI-driven solutions are driving changes in the back\, front and middle office to streamlining portfolio management\, personalising client interactions\, and improve investment decision-making.   \nWe will discuss real-world case studies showcasing the successful integration of AI into financial services\, highlighting the measurable benefits of increased scalability\, reduced operational costs\, and enhanced client satisfaction.  \nFurthermore\, attendees will gain insights into the ethical and regulatory considerations essential for the responsible deployment of AI in wealth management. Our expert panel will provide practical tips on overcoming common challenges and maximizing the potential of AI to stay ahead in a competitive market.  \nDon’t miss this opportunity to understand how AI can be a game-changer for your wealth management practice. Register now to embark on a journey towards smarter\, more efficient financial advisory services. 
URL:https://www.pimfa.co.uk/event/pimfa-webinar-harnessing-the-power-of-ai-to-transform-wealth-management/
CATEGORIES:Learning,Webinars
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/01/Front-of-boat-on-lake.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241108T080000
DTEND;TZID=Europe/London:20241108T170000
DTSTAMP:20260420T125219
CREATED:20241120T165217Z
LAST-MODIFIED:20241120T165217Z
UID:318106-1731052800-1731085200@www.pimfa.co.uk
SUMMARY:Increasing pay transparency and pay equity: a global issue
DESCRIPTION:Pay transparency\, both as a value in itself and as an element of pay equity\, is rapidly becoming a pivotal issue across the globe. Driven by legislation\, regulatory activity\, and cultural expectations\, the rapid pace of change makes it essential for organisations to stay informed and prepared. \nIn this session our panel of lawyers from the U.S.\, UK\, Ireland and Belgium will review the trends in pay equity and transparency across the globe\, providing insights into possible future directions of pay transparency and equity measures. \nWe will also more specifically explore the current status of pay transparency/equity requirements in the U.S.\, UK and in the EU\, including in relation to the EU Pay Transparency Directive\, and will then consider how in practice organisations are addressing compliance requirements on an international scale. \nKey topics will include: \n– The history and evolution of pay transparency and its relationship with pay equity\n– Where we are now in key jurisdictions and a comparative analysis of practices in the U.S.\, the EU\, the UK amongst others\n– Practical steps and strategies for organisations\n– Future trends and what organisations need to be doing to plan for the future \nWho should attend this session? \nThis webinar will be of interest to HR directors/managers\, in-house counsel\, and compliance professionals from global organisations particularly those with responsibility for operations in the U.S.\, UK and Europe.
URL:https://www.pimfa.co.uk/event/increasing-pay-transparency-and-pay-equity-a-global-issue-2/
CATEGORIES:Industry Events
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/04/afonso-azevedo-neves-VEJP7CtIhEk-unsplash-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241106T160000
DTEND;TZID=Europe/London:20241106T193000
DTSTAMP:20260420T125219
CREATED:20241029T084600Z
LAST-MODIFIED:20241029T084600Z
UID:317453-1730908800-1730921400@www.pimfa.co.uk
SUMMARY:Ready Steady Grow! Belfast\, 6th November 2024
DESCRIPTION:Ready Steady Grow! is an event for the investment ecosystem in Belfast \nEISA is back in Belfast for another event that brings the EIS and VC ecosystem together to learn and connect. \nJoin us as the Enterprise Investment Scheme Association (EISA) returns for a session supporting everyone in the investment space\, from founders to funds. \nDate: 6th November 2024\, registration from 16:00 BST \nVenue: Ormeau Labs\, 18 Ormeau Ave\, Belfast BT2 8HS \nRegister for this Ready Steady Grow event here. \nWhat is Ready Steady Grow? \nThese events\, brought to you by the Enterprise Investment Scheme Association\, bring together small businesses\, investors\, IFAs\, entrepreneurs and business advisers. The session will feature networking as well as panels of regional experts. \nReady Steady Grow events are designed to help each region of the UK with their EIS journey with a carefully constructed agenda featuring opinions from SME industry experts. \nAgenda \nThe event is split into two parts – a technical seminar at 16:30\, followed by a breakout session and networking from 17:30. \nAgenda to be updated \n4.30pm: Welcome\n4.35pm: British Business Bank\n4.45pm: EIS – Dos and don’ts\n5.00pm: Under the bonnet with the Fund Managers\n5.25pm: Journey of a Startup\n5.35pm: Closing comments from EISA\n5.40pm: Networking Reception \nHowever\, you can be sure there will be content and speakers to help you on your EIS journey\, wherever you are in the ecosystem. Keep your eye on this page for updates! \nThere will also be opportunities to network over drinks and canapes. \nThank you to our Sponsors \nWe are very grateful to our sponsors for this event. \nThank you to British Business Bank\, Charles Stanley\, Ormeau Labs and Raise Ventures. \nIf you would be interested in sponsoring\, please get in touch with the team here. \nFrequently Asked Questions about Ready Steady Grow! \nWhere else can you attend a Ready Steady Grow! event? \nThroughout the autumn\, we will be visiting cities across the UK. You can explore the full calendar here. \n\nWho should attend this event?\nEntrepreneurs looking to start a business\, or access funding to take your business to its next level\nWealth managers looking to gain knowledge and expertise in EIS and small company investing\nInvestors looking to invest in the ‘next big thing’\nProfessional Advisors who want to help SMEs develop and grow\n\nIf you want to join\, but don’t feel like you fit in these categories\, get in touch with the team. \nWill refreshments be provided? \nDrinks will be available throughout\, and canapés will be available during the networking section of the event. \nYour data \nWe\, the EISA\, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. \nBefore 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
URL:https://www.pimfa.co.uk/event/ready-steady-grow-belfast-6th-november-2024/
CATEGORIES:Industry Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241106T130000
DTEND;TZID=Europe/London:20241106T170000
DTSTAMP:20260420T125219
CREATED:20241029T084711Z
LAST-MODIFIED:20241029T084711Z
UID:317428-1730898000-1730912400@www.pimfa.co.uk
SUMMARY:Women in wealth - Empowering Future Leaders in Financial Services
DESCRIPTION:The Chartered Institute for Securities & Investment (CISI) Bristol & Bath Committee are delighted to invite you to join them at this Women In Wealth Event at the University of Bristol whereby undergraduates and professionals in the industry will gain insight from the journeys of many esteemed women in the industry. \nJoin us on 6 November at Bristol University for the CISI Bristol & Bath Women in Wealth event! This inspiring gathering is designed specifically for young professionals aspiring to enter the financial services industry. Attendees will have the opportunity to hear from a diverse panel of accomplished women who will share their insights\, experiences\, and journeys within the sector. Discover various pathways into financial services\, gain valuable perspectives\, and connect with fellow young professionals and CISI members\, as well as non-CISI members. Don’t miss this chance to empower your future in finance! \nClick here for more information.
URL:https://www.pimfa.co.uk/event/women-in-wealth-empowering-future-leaders-in-financial-services/
CATEGORIES:Industry Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241105T160000
DTEND;TZID=Europe/London:20241105T193000
DTSTAMP:20260420T125219
CREATED:20241029T084940Z
LAST-MODIFIED:20241029T084940Z
UID:317451-1730822400-1730835000@www.pimfa.co.uk
SUMMARY:Ready Steady Grow! Cambridge\, 5th November 2024
DESCRIPTION:Ready Steady Grow! is an event for the investment ecosystem in Cambridge \nEISA is back in Cambridge for another event that brings the EIS and VC ecosystem together to learn and connect. \nJoin us as the Enterprise Investment Scheme Association (EISA) returns for a session supporting everyone in the investment space\, from founders to funds. \nDate: 5th November\, 2024\, registration from 16:00 BST \nVenue: Mills & Reeve Solicitors\, Hills Road\, Cambridge CB2 1PH \nYou can register for this Ready Steady Grow event here! \nWhat is Ready Steady Grow? \nThese events\, brought to you by the Enterprise Investment Scheme Association\, bring together small businesses\, investors\, IFAs\, entrepreneurs and business advisers. The session will feature networking as well as panels of regional experts. \nReady Steady Grow events are designed to help each region of the UK with their EIS journey with a carefully constructed agenda featuring opinions from SME industry experts. \nAgenda\n4.00pm: Registration\, Tea and Coffee\n4.30pm: Welcome – Zickie Lim\, Mills & Reeve\n4.35pm: Paul Sullivan\, British Business Bank\n4.45pm: EIS – Dos and don’ts – Jan Fachot\, PEM and John Kahn\, Mills and Reeve\n5.00pm: Under the bonnet with the Fund Managers – Olivia Wing\, EISA (Chair)\, Sunil Shah\, o2h Ventures\, Jeffery Faustin\, Jenson Ventures and Kealan Dolye\, Symvan Capital\n5:15pm Key Considerations for Startups – Eloise Morgan\, Paragon\n5.25pm: Journey of a Startup – TBA\n5.35pm: Closing comments from EISA – Olivia Wing\, EISA\n5.40pm: Networking Reception \nNetworking over drinks and canapes. \nThank you to our Sponsors \nWe are very grateful to our sponsors for this event.\nThank you to British Business Bank\, Charles Stanley\, Jenson Funding Partners\, Mills & Reeve\, o2h Ventures\, Paragon\, PEM and Symvan Capital. \nIf you would be interested in sponsoring\, please get in touch with the team here. \nFrequently Asked Questions about Ready Steady Grow! \nWhere else can you attend a Ready Steady Grow! event? \nThroughout the autumn\, we will be visiting cities across the UK. You can explore the full calendar here. \nWho should attend this event? \n\nEntrepreneurs looking to start a business\, or access funding to take your business to its next level\nWealth managers looking to gain knowledge and expertise in EIS and small company investing\nInvestors looking to invest in the ‘next big thing’\nProfessional Advisors who want to help SMEs develop and grow\n\nIf you want to join\, but don’t feel like you fit in these categories\, get in touch with the team. \nWill refreshments be provided? \nDrinks will be available throughout\, and canapés will be available during the networking section of the event. \nYour data \nWe\, the EISA\, may share your personal data with third parties in certain circumstances including (but not limited to) our sponsors. \nBefore 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
URL:https://www.pimfa.co.uk/event/ready-steady-grow-cambridge-5th-november-2024/
CATEGORIES:Industry Events
ATTACH;FMTTYPE=image/jpeg:https://www.pimfa.co.uk/wp-content/uploads/2024/09/iStock-987443070-scaled.jpg
END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241030T103000
DTEND;TZID=Europe/London:20241030T113000
DTSTAMP:20260420T125219
CREATED:20241009T154205Z
LAST-MODIFIED:20241017T202845Z
UID:316746-1730284200-1730287800@www.pimfa.co.uk
SUMMARY:Risk Management: Tactics for Digital Assets
DESCRIPTION:In April 2023\, FCA’s Sarah Pritchard highlighted at City Week that while cryptoassets are growing in popularity\, many consumers don’t fully understand the risks involved. This lack of understanding poses significant risks not only to consumers but also to firms. With the introduction of consumer duty\, firms face substantial consequences if they fail to meet regulatory standards. \nJoin our live event to discover key strategies for managing these risks effectively.\nIn this live webinar we discuss the following aspects:\n• Key risk considerations\n• Global regulatory themes\n• Impacts for firms\n• Crucial steps for success\n• Ruleguard’s approach to risk management \nTo learn more about Ruleguard’s risk management solutions visit https://www.ruleguard.com/function/enterprise-risk-management-software.
URL:https://www.pimfa.co.uk/event/risk-management-tactics-for-digital-assets/
CATEGORIES:Industry Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241024T140000
DTEND;TZID=Europe/London:20241024T170000
DTSTAMP:20260420T125219
CREATED:20240722T110120Z
LAST-MODIFIED:20251119T173719Z
UID:312351-1729778400-1729789200@www.pimfa.co.uk
SUMMARY:Virtual Event: Understanding Customer Vulnerability – A Guide for Firms Launch
DESCRIPTION:There is currently a significant industry and regulatory spotlight on consumer vulnerability\, and it is paramount that firms are able to identify\, support and achieve good outcomes for vulnerable customers. The data requests of the wealth management industry and subsequent Dear CEO letters since November 2023 have shown this as a high priority and the expectation from the FCA that this is led from the top. \nPIMFA has been working closely with the regulator and member firms this year to understand better the extent and range of vulnerabilities that customers may face and to ensure that firms can correctly identify and support those customers. \nAs part of our work\, we will be launching a PIMFA Guide on Understanding Customer Vulnerability’\, which will be a valuable reference aid and tool for firms to use. The Guide\, based on our first version published in 2021\, will assist firms with creating vulnerability strategies and implementing processes and procedures that will not only help to meet regulatory obligations but also identify opportunities to enhance how firms serve all their customers. \nTo mark the publication of the Guide\, we will be holding an event on the 24th of October 2024\, where we will hear from the FCA and a range of industry CEOs and practitioners to discuss the importance of this topic and to share views and best practices and we would like to invite you to attend this event as our guest. Please see details below: \nDate: 24 October 2024\nTime: 14:00 – 17:30\nVenue: Online \nPlease note this is a virtual event which will be live-streamed. For further information please contact events@pimfa.co.uk  \nIf 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. \n 
URL:https://www.pimfa.co.uk/event/pimfa-guide-on-vulnerable-customers-launch/
CATEGORIES:PIMFA Events
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END:VEVENT
BEGIN:VEVENT
DTSTART;TZID=Europe/London:20241023T120000
DTEND;TZID=Europe/London:20241023T170000
DTSTAMP:20260420T125219
CREATED:20241009T154220Z
LAST-MODIFIED:20241017T202343Z
UID:316861-1729684800-1729702800@www.pimfa.co.uk
SUMMARY:Routes into Finance – Relatability & Career Progression
DESCRIPTION:The Chartered Institute for Securities and Investment (CISI) Birmingham committee would like to invite you to attend their upcoming Young Professionals’ Network (YPN) event\, hosted by Aston University. \nWe hope that you will join us for this half-day event where we will hear from a number of professionals from within the finance industry\, from recent graduates to established practitioners\, who will share with us their thoughts\, knowledge and advise on pursuing a career into finance and the different routes available. \nAttendees will benefit from hearing from established local practitioners such as Graham Nicoll\, Director of Wealth for Succession Wealth with over 20 years of experience in wealth management and Rob Craik\, Deputy Head of Operations at EFG Harris Allday as well as many other individuals including those who will give their experience on their perspective of recently joining the industry. \nThis event is open to members and non-members alike so we hope you’ll join us at this event and make the most of our resources\, aimed towards young professionals in the industry. Please either book your place via this website or email your first & last name and email address to events@cisi.org and we book your places for you. \nThe CISI Young Professionals’ Network\, attracting young professionals between the ages of 18 and 35\, focuses on harnessing your competitive edge and professional development skills\, including leadership\, communication\, teamwork\, problem-solving and adaptability – so you’ll feel like a superstar in your role.
URL:https://www.pimfa.co.uk/event/routes-into-finance-relatability-career-progression/
CATEGORIES:Industry Events
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DTSTART;TZID=Europe/London:20241017T140000
DTEND;TZID=Europe/London:20241017T160000
DTSTAMP:20260420T125219
CREATED:20240924T121150Z
LAST-MODIFIED:20250617T125645Z
UID:315394-1729173600-1729180800@www.pimfa.co.uk
SUMMARY:Morningstar Adviser Forum\, London 17 October
DESCRIPTION:Discover Morningstar’s latest research tailored for UK advisers. Perfect for those who’ve outsourced investments or want to enhance their practice. \nFeaturing: \n• Topical Market Commentary\n• Investment Management Insights\n• Manager Research\n• Behavioural Finance Perspectives \nElevate your advisory practice with Morningstar’s expertise. \nContact: Sarah Rouse: eventsmanager@morningstar.com \nTo book your place and for further information click here.
URL:https://www.pimfa.co.uk/event/morningstar-adviser-forum-london-17-october-2/
CATEGORIES:Industry Events
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DTSTART;TZID=Europe/London:20241014T093000
DTEND;TZID=Europe/London:20241014T123000
DTSTAMP:20260420T125219
CREATED:20240717T092737Z
LAST-MODIFIED:20251113T162308Z
UID:311346-1728898200-1728909000@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Training: Mastering Fair Value Assessments: Aligning with Consumer Duty Standards
DESCRIPTION:One of the most challenging outcomes of the Consumer Duty for firms to meet is that of fair price and value. In the opinion of the FCA\, “many of the fair value assessments we [FCA] have seen do not rely on solid data and other credible evidence to justify the products’ value to retail customers. [Sheldon Mills quote Feb 2024] \nThe regulator’s information request to 20 of the largest firms asking about their delivery of ongoing advice services highlights the need for PIMFA members to test whether their value framework are fit for purpose and challenge whether they are capturing the appropriate data and metrics to evidence their products and services are delivering fair value. \nIn this live\, tutor led online training course experts Alpha\, show you how you can stay ahead of FCA expectations\, identifying and addressing the regulators most recent concerns in assessing fair value and ongoing advice fees\, so that you can take swift action to address any shortcomings in your approach. \nBy the end of this masterclass\, you’ll be able to: \n\nRefine and improve your ongoing advice annual review process in light of recent FCA concerns.\nConfidently anticipate and respond\, with evidence\, to FCA questions and queries on your approach value assessments.\nPinpoint areas of immediate improvement to fair value assessment\, ensuring it is aligned with industry good practice.\nMap\, with greater clarity\, the critical data metrics required to identify consumer harm across different customer groups\, (particularly vulnerable or potentially vulnerable customers)\nCritically assess if your firm’s ongoing services are fairly priced\n\nWho should attend? \n• Compliance heads and leaders seeking to avoid foreseeable harm by enhancing and refining their fair value framework.\n• Internal auditors keen to address shortcomings in their approach who now seek a more robust\, data-driven approach for assessing fair value.\n• Risk leaders who want to ensure that fair value outliers can be effectively identified and rectified with appropriate accountability mechanisms.\n• Consumer Duty project leads who recognise the need for improvements\, want to know how leading firms use data and MI to monitor fair value on an ongoing basis.\n• Consumer Duty champions seeking to ensure their fair value analysis provide the board with a sufficient understanding of outcomes received across different customer groups. \n  \nBring you colleague along for free! \nPlease use coupon 7SX5YB2X at checkout for 50% off 2 Tickets \n  \nIf you experience any issues please email learning@pimfa.co.uk
URL:https://www.pimfa.co.uk/event/pimfa-live-online-training-mastering-fair-value-assessments-aligning-with-consumer-duty-standards/
CATEGORIES:Learning,Live Learning
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DTSTART;TZID=Europe/London:20241010T183000
DTEND;TZID=Europe/London:20241010T235900
DTSTAMP:20260420T125219
CREATED:20240301T091346Z
LAST-MODIFIED:20260327T080211Z
UID:307529-1728585000-1728604740@www.pimfa.co.uk
SUMMARY:PIMFA D&I Awards 2024
DESCRIPTION:  \nSHORTLIST ANNOUNCED \nCONGRATULATIONS TO ALL FINALISTS \nPIMFA 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. \nThere 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. \nFurther\, 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. \nWe have launched the PIMFA D&I Awards to celebrate this. \nThe 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.\nPlease see the 2024 timeline below: \nApril 10 – Entries are open\nJune 21 – Entries close\nWC July 15 – Shortlist announced\nOctober 10 – Winners announced \nFor further information and to see this year’s categories and criteria click here \nIf you have any questions about booking your table for the 2024 Awards ceremony\, please contact PIMFA’s Events Team on events@pimfa.co.uk. \nAwards ceremony details:\nDate: October 10\nTime: 18:30 – late\nVenue: InterContinental Hotel\, Park Lane\, London \n  \nMore information about the awards can be found here  \n 
URL:https://www.pimfa.co.uk/event/pimfa-di-awards-2024/
CATEGORIES:Symposium, Awards and Networking
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DTSTART;TZID=Europe/London:20241009T110000
DTEND;TZID=Europe/London:20241009T120000
DTSTAMP:20260420T125219
CREATED:20240625T101452Z
LAST-MODIFIED:20260310T122806Z
UID:311034-1728471600-1728475200@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: Two years of IFPR – Observations\, Takeaways and Actions!
DESCRIPTION:The FCA still believe that firms subject to IFPR\, can and must improve the implementation of the internal capital adequacy and risk assessment (ICARA) process and reporting requirements under IFPR. Identifying good practices in many firms\, the FCA still found ‘significant failings’ in applying capital models for operational risk. \nIn this FREE 60-minute webinar\, Thistle Initiative’s experts unpack the FCA latest expectations\, highlighting where and how PIMFA member firms must revisit their IFPR implementation and ICARA reporting to ensure the adequacy and operating effectiveness of your ICARA process follows good industry practice \nBy attending this webinar\, you will learn how to: \n\nIdentify areas of improvements in your most recent ICARA document and wind-down plan.\nRecognise instances of poor regulatory data submissions.\nBuild additional rigour around your approach to identifying\, assessing\, and mitigating harms.\nCorrectly forecast liquid asset threshold requirements.\nBuilding in FCA Supervisory Review and Evaluation Process (SREP) resilience into the ICARA.\n\n 
URL:https://www.pimfa.co.uk/event/pimfa-webinar-two-years-of-ifpr-observations-takeaways-and-actions/
CATEGORIES:Learning,Webinars
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DTSTART;TZID=Europe/London:20241008T100000
DTEND;TZID=Europe/London:20241029T123000
DTSTAMP:20260420T125219
CREATED:20240508T100536Z
LAST-MODIFIED:20251119T173534Z
UID:309494-1728381600-1730205000@www.pimfa.co.uk
SUMMARY:The PIMFA Transaction Reporting Academy Cohort 2 2024
DESCRIPTION: Live\, tutor-led online sessions\, with our partners Kaizen Reporting  \nThe challenge \nAccurate and complete MiFIR 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. \nThe 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. \nThe solution \nThe 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 transaction reporting requirements. \nPlease click here for more information \n\n\n\n1\nOverview and how to report by trading scenarios\n8th October 2024\n10:00 – 12:30\n\n\n2\nTransaction reporting by instrument type\n15th October 2024\n10:00 – 12:30\n\n\n3\nCommon issues & Remediation\n22nd October 2024\n10:00 – 12:30\n\n\n4\nSystems & Controls and Corporate Actions\n29th October 2024\n10:00 – 12:30\n\n\n\n  \n 
URL:https://www.pimfa.co.uk/event/the-pimfa-transaction-reporting-academy-2024-2/
CATEGORIES:Learning,Programmes
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