PIMFA - Building Personal Financial Futures

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

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

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

Who Should Attend

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

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

Register your interest to attend M&A Summit HERE

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

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

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

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

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

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

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

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

SRI Services and Partners Good Money Week event
2025-10-09 09:30 - 17:30
Join us for a full day’s deep dive into sustainable and responsible investment for financial advisers, planners, wealth managers and fund selectors.

For further information on the agenda and how to book please click here

PIMFA Learning: Authentic Leadership: How to thrive as a female leader in wealth and finance-2025
2025-10-14 | 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.

Getting Financial Promotions Right in a Post Consumer Duty ERA
2025-10-14 09:30 - 11:30 | https://www.pimfa.co.uk/event/pimfa-live-online-learning-getting-financial-promotions-right-in-a-post-consumer-duty-era/
PIMFA member firms take note.
In 2024, the FCA identified and intervened against around 20,000 non-compliant financial promotions from authorised firms and has recently deployed new technology to shut down or block 1,600 websites promoting financial services without permission taking action against influencers (“finfluencers”) for illegal promotions.
In the Consumer Duty era, the FCA expects your firm to go beyond ensuring that all your promotions are ‘clear, fair and not misleading’ and actively challenging your firm to achieve good outcomes for all customers, especially the vulnerable. But what does that mean in practice?
In this online training session, you will examine good and bad examples of recent promotional campaigns and assess potential non-compliance with your current and future campaigns. By improving your grasp of good practice, you will be better prepared to protect your firm, brand reputation, and competitive advantage and respond rapidly to unexpected, consequential events.
Over two hours, Ocorian’s Abi Reilly will help you:

Assess the potential risks of your marketing and financial promotions and strengthen your approach against the latest FCA guidance.
Mitigate the threat of non-compliance with current and future changes in financial promotion regulations using a proven process
Ensure your approach to social media and customer communications doesn’t attract the wrong kind of attention.
Enhance the review and approval process for financial promotions in line with proposed new anti-greenwashing rules.
Update your social media and influencer marketing governance, policies, and contracts with ‘finfluencers’ and agencies to stop consumer harm.

Who should attend

Compliance and legal
Marketing
Product Development
Senior managers responsible for the marketing activities of the firm

*You may bring along a colleague FREE to this course, please book 2 places and use code 8prbx3da at checkout for 50% off.

Culture & Inclusion Roundtable Event
2025-10-16 14:00 - 17:30 | Howden, One Creechurch Ln, London, EC3A 5AF, United Kingdom
PIMFA, as a longtime advocate of DE&I, both for its ethical merits, and a deep seated belief in its importance for a well performing business culture. We will be hosting a half day roundtable in October, under Chatham house rules, to facilitate a dialogue and through discussions of good practices identify what firms are doing to create inclusive cultures, the impact it is creating and what companies are doing to remain true to their values and overcome challenges and pushback.
PIMFA CEO Liz Field, and PIMFA Chair, The Rt. Hon John Gummer, Lord Deben, will be speaking to the subject and hosting roundtable discussions on this important topic with additional guest speakers being drawn from previous winners of the PIMFA D&I Awards, to discuss their pragmatic advice on inclusion implementation and the changing landscape. If you have an interest in the subject, we encourage you to book your place sooner rather than later, as ticket numbers will be restricted. This event is free for PIMFA members.

PIMFA HR Briefing 2025: From Policy to Practice: HR’s Role in FCA Misconduct Rules
2025-10-21 11:00 - 12:00 | https://www.pimfa.co.uk/event/pimfa-hr-briefing-2025-from-policy-to-practice-hrs-role-in-fca-misconduct-rules/
Non-financial misconduct is under comprehensive scrutiny from all fronts.
From 1 September 2026, wealth and advice firms will be subject to the FCA’s tougher stance on non-financial misconduct. This means that serious cases of bullying, harassment, or violence that lead to disciplinary action must be reported to the regulator, not just handled internally.
In this FREE 60-minute webinar, employment lawyers Chris Holme and Anousheh Bromfield of Clyde & Co cut through the complexity to show HR professionals what the change in the Rules mean in practice, how to update policies and investigations, and how to balance employment law with regulatory duties, and how to deal with non-financial misconduct between now and when the new Rules come into force.
Attending this session will help HR professionals:
1. Understand the FCA’s broadened remit on non-financial misconduct and its implications for HR.
2. Ensure compliance ahead of the new rules taking effect next year and understanding what to do in the interim.
3. Map the impact of the new rules on your policies, procedures and frameworks
4. Get started on assessing current COCON and FIT frameworks to identify gaps against new rules and proposed guidance
5. Distinguish between misconduct that is purely HR-managed and that which must be reported to the FCA.

PIMFA Roundtable: AI in Wealth Management 2025
2025-11-05 09:00 - 12:00 | Farrer & Co, 55- 56 Lincoln's Inn Fields, London, WC2A 3LJ
This invite-only event brings together leaders from across the PIMFA membership to discuss practical AI use cases, ethical and compliance considerations and tangible value creation. Expect deep insights from AI software houses, honest conversations between member firms, and thus equipping participants to make better choices about where to take their firm – all under Chatham House rules.
Who Should Attend:

COOs and CTOs
Compliance & Risk Leaders
Heads of Digital & Innovation
Senior Wealth Managers and Planners

What’s Included:

Breakfast networking
Expert panel sessions
Interactive roundtables
Action-oriented takeaways
Complimentary lunch

Please note that places are limited and allocated on a first-come, first-served basis

Market Abuse 2025 refresher for Wealth Managers
2025-11-06 09:30 - 11:30 | https://www.pimfa.co.uk/event/pimfa-live-learning-market-abuse-2025-refresher-for-wealth-managers-2025/
The FCA continues to focus on market abuse, and its messages and publications indicate that it is not looking to turn the heat down anytime soon.
The regulator expects all wealth management firms to have a deep understanding of their market abuse risk and build control frameworks that are both proportionate and effective. However, recent market abuse reviews by Ocorian’s Regulatory & Compliance practice indicate that they are struggling to properly assess, understand, and articulate the specific market abuse risks inherent in their business.
In this live, two-hour interactive, online training course Ocorian consultants reveal how wealth firms can effectively meet their obligations to detect and prevent market abuse, from setting adequate surveillance frameworks to ensuring they have appropriate governance arrangements in place.
By attending this two-hour refresher session, you will be able to:

Grasp what the FCA expects from you to prevent market abuse in 2025
Understand where wealth firms fall short of FCA expectations
Recognise and address common market abuse risk areas in your firm
Improve your monitoring ongoing compliance risk

As with all our PIMFA live online learning sessions, we provide ‘surgery’ time at the end of this session with the trainer to support you applying what you’ve learnt immediately back into your firm.
*You may bring along a colleague FREE to this course, please book 2 places and use code 9qwytrsu at checkout for 50% off.

The Wealth Management Financial Crime Compliance Learning Programme – Meeting FCA Expectations in 2025 and Beyond
2025-11-12
The Challenge
The fight against financial crime never stops.
A rapidly changing threat landscape, alongside increasing regulatory demands, challenges all wealth managers and advice firms to craft an effective and efficient anti-financial crime compliance programme that is not only proportionate to their risk environment and commensurate with the size and nature of their operation but also fully compliant with FCA expectations.
The Solution
PIMFA’s monthly Wealth Management Financial Crime Compliance Learning Programme ensures senior managers, MLRO/DMLOs, Heads of Compliance, compliance officers and legal professionals don’t just keep up to date with key changes and regulatory deadlines, but develop the clarity, direction and insight they need to design an effective and efficient anti-financial crime control framework that protects their firm, creates value and enhances revenue opportunities. The programme offers examples of industry best practice solutions on issues like firm-wide risk assessments, transaction monitoring, PEPs, sanctions and adverse media.
Benefits for you
This monthly CPD-approved programme develops your skills and competencies to:

Effectively implement and respond to FCA requirements
Identify and address vulnerabilities in your approach to financial crime compliance
Thoroughly prepare your firm to respond to key regulatory changes in 2025 and beyond
Ensure your enterprise-wide risk assessment focuses on real risks and drives positive organisational change
Follow industry best practice approaches to KYC, CDD, EDD and ODD
Calibrate your financial crime controls, policies and control frameworks to your firm’s risk profile

Benefits for your firm
For your firm, this programme:

Delivers clarity, structure, and confidence that your approach to financial crime compliance keeps pace with changing regulatory expectations.
Challenges you to identify and make essential changes to the firm’s approach to financial crime compliance before the FCA does.
Optimises your three lines of defence to mitigate financial crime risk management gaps and duplication of unnecessary risk coverage Supports leaders to design and deploy a financial crime compliance strategy that supports business growth.
Provides practical advice on developing an enterprise-wide risk assessment to focus on real risks to drive positive organisational change.

Expert-led learning and support
Co-created with former regulators and industry experts from advisory firm Avyse Partners, senior legal professionals at Shoosmiths and technologists from Malverde and ID Pal, this programme delivers real-time insights and practical lessons drawn from their direct work with firms and ongoing dialogue with the FCA. Through their collective wisdom and experience, you’ll gain access to proven tools, strategies, and analytical frameworks you can immediately use to manage financial crime risks in your firm proactively.
Is this programme for you?
Staying ahead of financial crime is essential. Whether you’re managing an incident or meeting regulatory obligations, thinking ahead can make all the difference. This timely and topical programme combines thinking with doing, providing a comprehensive set of strategic and practical skills to ensure your compliance is both resilient and responsive. You’ll learn invaluable tools and tactics that you can implement straight away — whether dealing with internal stakeholders, the board or the regulator.
Individuals who will gain most from this programme include, but are not limited to:

Heads of Compliance
Money Laundering Reporting Officer (MLRO)
Deputy Money Laundering Officer (DMLRO)
Heads of Legal and Regulatory Change
Managers with responsibility for fraud, financial crime and AML controls
Risk Managers
Advisory and Investigation roles
Internal Audit and Regulatory staff

This programme is for you if you want to:

Reduce your risk exposure: Our instructors are ‘in the trenches’ every day identifying and mitigating risks for firms – update your learning to reflect what’s happening now, not last year.
Do what matters most: As a financial crime compliance professional you’re up against it, we get it. Each session provides you with clarity and focus to separate the urgent from the important.
Spot risks before they become threats: Work hand-in-hand with trusted experts to avoid regulatory misalignment and best meet your financial crime.
Become a more effective financial crime compliance leader: A robust blend of presentations, case studies, debates and small group discussions are key programme features that will help you learn to think on your feet, sharpen your analytical skills, and make critical decisions in real-time.
Benchmark your compliance efforts: See how your firm’s approach to financial crime stacks up against industry standards and peers across various aspects, including sanctions, money laundering, fraud and cyber crime.
Demonstrate your commitment to continuous learning: Knowledge is power with this CISI-approved programme that gives you 12 CPD hours.

PIMFA Learning: Consumer Duty Series - Session 3: MI, Reporting and Governance
2025-11-13 00:00
With fundamental regulatory change like the introduction of the Consumer Duty, the problem for firms both large and small often isn’t with planning – many strategies are well developed – but with execution. The Consumer Duty series tackles the implementation of Consumer Duty head-on to provide PIMFA member firms with a well-structured approach for Project Leads, Compliance & Risk Heads alongside Senior Managers to confidently meet the July deadline.
You will return from each of the three sessions with a set of tools and approaches you can use to:

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

Session Three: MI, Reporting and Governance
The Consumer Duty expects firms to monitor and regularly review the outcomes that customers are experiencing, identify sources of poor outcomes and harm, and make necessary changes to products and services. Boards are expected to oversee the implementation of the Duty, and to annually confirm their firm’s adherence to the rules. Firms must develop their own reporting and governance structures to achieve this.
This session (that you can attend in person or online) will focus on:

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

By the end of this session, you will:

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

Format and approach
You can attend this two-hour in-person session at the PwC London office or online. However you choose to participate, this session is run as an interactive learning experience that brings the research and experience of the PwC Wealth Management team together with senior managers who want to strengthen their firms’ approach to Consumer Duty implementation. In this online workshop, you will be broken into smaller discussion groups to work through exercises, discuss scenarios and collaborate with your peers on solutions to overcome even your most challenging execution obstacles.

Associate Members Update, London September 2020
2025-11-13 00:00
We will explore topics such as regulation, operations, taxation etc and provide an opportunity to discuss with PIMFA staff specific issues important to the membership.
This event also showcases our ongoing events and publications programme providing examples of how Associates can engage with Members and maximise the value they receive from their membership.
Attendees will also benefit from networking opportunities with other industry professionals over a drinks reception.

PIMFA Learning: PwC Consumer Duty Series- Session 1: Testing consumer outcomes
2025-11-13 00:00
The Duty requires firms to help customers achieve good outcomes, and to report on this annually. Consequently, firms must be able to measure if they are achieving good outcomes for their customers.
This workshop will focus on:
• Helping firms consider the design considerations for testing each of the four outcomes.
• Considering what data will be required for monitoring and testing outcomes.
• Considering what actions may be required to remediate poor outcomes.

PIMFA Webinar: Supporting your clients with Year-end tax planning
2025-11-19 00:00
Wealth Managers don’t have to resort to Black Friday deals to improve their service offering. Year-end tax returns provide the ideal opportunity for Wealth Managers to demonstrate value simplifying the tax return process of high-net-worth clients they serve.
In this FREE 60-minute webinar Aiden Corcoran, Personal Tax Senior at GoSimpleTax, explains how PIMFA member firms can, from a tax perspective, better serve their clients delving into Cryptocurrency whilst providing much-needed support on Inheritance tax and pensions.
In this webinar, we discuss how Wealth Managers can:

Offer tax planning to boost the value of their service.
Understand further serve and understand their clients’ needs regarding Crypto Tax and Pensions.
Work with their HNW clients on inheritance tax and/or EIS, SEIS and VCT

PIMFA Webinar: Sustainable Finance Policy: Where are We What’s Next?
2025-11-19 00:00
Fayyaz Muneer leads the team in HM Treasury responsible for green and green and sustainable finance. He will set out the latest on key issues like sustainability disclosures, ESG ratings, the green taxonomy, and transition plans

Wealth of Diversity Conference & Women in Wealth Drinks September 2020
2025-11-19 00:00
UPDATE
Following recent developments and advice from the World Health Organization and the UK Government on Coronavirus (COVID-19), it is with regret that we have decided to postpone all events and training until further notice.
The decision has not been taken lightly, however, safeguarding the health and wellbeing of our attendees must take precedence.
We hope that you will understand why this decision has been made. We will be updating the website as things develop and we are working on being able to deliver some content online and scheduling new dates.
If you have any queries, please get in contact via events@pimfa.co.uk. If you would like to find out more about COVID-19 and how to protect yourself, please visit the World Health Organization site.

PIMFA Webinar: What Senior Managers Need To Know in 2026
2025-11-25 11:00 - 12:00 | https://www.pimfa.co.uk/event/pimfa-webinar-what-senior-managers-need-to-know-in-2026/
Don’t be fooled.
The proposed simplification of the Senior Managers & Certification Regime (SM&CR) should not be interpreted as a dilution of senior management accountability.
While policymakers review “streamlining” the regime, the FCA’s enforcement against individuals has spiked — with financial penalties against senior managers tripling in the past year and individual prohibitions rising from 19 to 30.
The message is clear: the regulator isn’t easing up — it’s closing in.
This 60-minute briefing, led by Peter Haines and Nigel Sydenham of CCL Academy, cuts through the noise to show senior leaders where to focus in 2026, how to stay off the FCA’s radar, and what “reasonable steps” now really look like in practice.
Key Discussion topics:

Don’t be lulled by change – what the latest SM&CR updates really mean for you, and why the personal risk curve is rising, not falling.
Signals from enforcement – what recent FCA fines and prohibitions reveal about where leaders are falling short.
Top three knowledge gaps that expose firms to regulatory and reputational risk.
From compliance to competence – how effective senior managers build the breadth and depth of regulatory insight to make joined-up, defensible decisions.

Who should attend
CEOs, COOs, SMFs, Board & ExCo members, Heads of Risk/Compliance, and senior leaders who need a clear 2026 focus without drowning in technical detail.
You’ll leave with

A clear shortlist of priorities for Q1–Q2 2026.
A practical lens for interpreting enforcement trends and management information.
A sharper steer on how to spot and remediate common blind spots in oversight and culture.

Senior Leadership Summit 2025
2025-11-26 12:00 - 19:00 | IET London, 2 Savoy Place, London, WC2R 0BL, United Kingdom
The event is open to senior member firm colleagues and strictly by invitation only. The aim is to provide a forum where relevant content will be presented and an opportunity for you to network with your peers will be provided.
The event is open to Wealth Management firms CEOs and nominated guests only.
If you have any interest in sponsoring or have any questions about this event please email events@pimfa.co.uk

PIMFA Post-Budget Webinar 2025
2025-12-03 11:00 - 12:00 | https://www.pimfa.co.uk/event/pimfa-post-budget-webinar-2025/
On Wednesday, 3 December, PIMFA will host a 45-minute webinar to unpack the upcoming Budget and what it means in practice for our sector. With so much speculation about the fiscal choices ahead, and genuine questions about investment, taxes and long-term savings, this will be a chance to cut through the noise and understand what matters.
David Ostojitsch, Director of Government Relations & Policy at PIMFA, will facilitate a discussion with Simon Harrington, Head of Public Affairs, and guest Christopher Dale, Associate Director at Global Counsel.
We will explore what is on the table, where policy intent appears to be heading, and the potential implications for firms, advisers, planners and their clients. This session is designed to provide sector-specific clarity and highlight where PIMFA is already engaging and will be prioritising next.
Who should attend?
This webinar is open to all PIMFA members
You’ll leave with:
A clearer view of the Budget’s implications for the wealth management and financial advice client sector.
A practical sense of challenge and opportunity for PIMFA members and their clients.
A view on PIMFA’s next steps, and where members can shape and engage.

The Future of Wealth and Asset Management
2025-12-04 18:00 - 20:00
Reflect on 2025—a year of experimentation, acceleration, and hard-earned lessons in AI-driven transformation across wealth and asset management.
Together, we’ll unpack what truly moved the needle, where progress stalled, and how firms are evolving toward agent-based decision-making.
You’ll leave with clear, actionable strategies to close the year strong and lead with confidence into 2026.
Click here to register.

PIMFA Webinar: ROI from AI – Turning Investment into Measurable Impact
2025-12-11 11:00 - 12:00 | https://www.pimfa.co.uk/event/airoi/
AI is everywhere — but measurable return on investment is what separates the early adopters from the real performers. This webinar, in partnership with Publicis Sapient, cuts through the hype to show where and how firms are capturing financial value from AI. We’ll explore what’s working, what isn’t, and how to build the governance and data foundations that allow innovation to scale sustainably.
What we’ll explore:

ROI in real terms: What good looks like — efficiency gains, margin expansion, revenue lift, and cost-to-serve reduction
From idea to income: How firms are moving from pilots and proofs-of-concept to live deployments that drive measurable results.
The business case for AI: Framing investments that resonate with boards, CFOs, and regulators.
Smart operations: How automation, predictive analytics, and GenAI tools are cutting process friction and elevating client experience.
Risk, governance and trust: Managing model risk, bias, and explainability while keeping the regulator onside.

Why attend?

Benchmark your AI investment and ROI maturity against peer firms.
Learn how to quantify productivity and growth impact — not just cost-savings.
Take away an AI ROI Framework to apply in your own firm.

PIMFA Webinar: UK Cyber Attacks: Lessons Learned in 2025 & What’s Coming Next in 2026
2026-01-20 11:00 - 12:00 | https://www.pimfa.co.uk/event/lessonslearnedincyber/
Cyber criminals don’t care if you’re a global retailer or a boutique wealth manager — if you hold sensitive client data, you’re a target. High-profile cyberattacks on household names like Co-op and Marks & Spencer have exposed just how quickly trusted brands can be brought to their knees. These incidents offer a stark warning for wealth managers: client trust is fragile, operational disruption is costly, and third-party risk can devastate even the strongest institutions.
But what does this mean for wealth managers in 2025 and beyond?
In this forward-looking session, PIMFA and cybersecurity specialists Mitigo will take you on a journey:

Look Back: The defining UK cyberattacks of the past 24 months — how they happened, what went wrong, and the common threads that wealth managers should recognise.
Look Forward: The evolving threat landscape — AI-driven phishing, deepfake-enabled fraud, insider threats, and supply chain attacks targeting financial firms.
Actionable Playbook: Practical steps to strengthen resilience, prepare your staff, and build a governance framework that can withstand both today’s and tomorrow’s attacks.

Why attend?

Benchmark your firm’s cyber readiness against real-world case studies.
Understand the next generation of cyber threats specific to Wealth and Advice firms.
Gain insight into regulator expectations around cyber governance, resilience, and reporting.
Walk away with a checklist and incident-response framework from Mitigo tailored to wealth managers.

The Annual M&A Breakfast: Looking Back at 2025 — Setting the Pace for 2026
2026-01-21 08:15 - 10:30 | Farrer & Co, 55- 56 Lincoln's Inn Fields, London, WC2A 3LJ
As firms prepare for 2026, this invitation-only PIMFA M&A Breakfast — headline sponsored by SEI and supported by contributing sponsors Square 4 , Farrer & Co and Grant Thorton— brings together senior executives from both acquiring and selling firms to reflect on lessons from the past year and explore the emerging deal drivers, risks, and opportunities, with the FCA’s Laura Dawes joining us to unpack the regulator’s Consolidation Review findings, shaping the next wave of consolidation.
Over breakfast at Farrer & Co, we’ll:

Engage with the FCA on their Consolidation Review findings.
Review 2025 — what really drove deal flow, valuations, and integration outcomes.
Assess the outlook for 2026 — pipeline health, financing conditions, diligence hot-spots, culture and people risks, and the FCA’s supervisory focus areas.
Consider what acquirers will pay for — and what they will walk away from — in the year ahead

Please note: this is an invitation-only event. PIMFA reserves the right to politely decline registrations from individuals who do not meet the intended seniority or role criteria for this event.

PIMFA Learning: The SMF Regulatory Briefing Programme 2026 - All You Need to Know About Everything That Matters Most
2026-01-22
What the FCA expects from Senior Managers
The FCA takes the competence of your Senior Managers very seriously. Upon applying to become an SMF, the FCA expects an individual to demonstrate a high level of skill and knowledge to carry out the role, supporting their application by completing a skills gap analysis, learning and development plan, and competency assessment.
Remaining Fit and Proper
But the regulator’s scrutiny of an SMF doesn’t stop at the application stage. The FCA expects your firm to ensure that your SMF holders continue to possess the requisite skills, particularly concerning the latest regulatory developments. Annual fit and proper assessments, mandated by the regulator and conducted by your firm, are not a ‘tick box’ exercise requiring you instead to carefully assess whether your senior managers are competent in performing their roles.
The solution
PIMFA’s 12-month ‘SMF Regulatory Briefing Programme’ supports SMF holders in learning everything they need to know about the issues that matter most to them. It also prepares prospective SMF holders for the highest level of leadership. The programme consists of a series of live, monthly, online one-hour sessions on critical compliance, risk and financial crime challenges, enabling SMFs to:

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

Highlights and key outcomes
By enrolling on ‘The SMF Regulatory Briefing Programme 2026’, SMFs will be able to:

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

Session format
Each session includes a mix of expert-led presentations, real-world case studies and small group discussions.
Programme topics and schedule
Through 12 sessions, SMFs develop the knowledge and insights on the latest regulatory changes and compliance challenges required to protect their firm’s assets, reputation, and competitive advantage.
Format: 12 x 1-hour monthly sessions
Delivery: Live, expert-led online learning sessions
Start date: 22nd January 2026 – 10th December 2026
Duration: 12 months

PIMFA Webinar: AI: How Not to Get Left Behind
2026-01-22 14:00 - 15:00 | https://us06web.zoom.us/j/84338928689
By early 2026, AI has moved far beyond experimentation. It is now actively reshaping how wealth firms operate, make decisions, serve clients, and manage risk. Some firms are already realising measurable value. Others are drifting dangerously behind.
This webinar is designed as a wake-up call for PIMFA member firms.
In this free 60-minute briefing, we’ll cut through the noise and focus on what matters most right now:

The hard risks of inaction: What “falling behind” now looks like — slower processes, higher costs, weak data foundations, governance gaps, and competitors accelerating ahead.
Real examples from real firms: How wealth managers, platforms, and advice firms are already deploying AI to improve efficiency, strengthen controls, enhance client journeys, and reduce operational burden.
A pragmatic roadmap for 2026: Where to start, what to prioritise, and how to build a safe, scalable and commercially grounded AI adoption plan.
What’s coming next from PIMFA: A short introduction to PIMFA’s new AI learning programme for senior leaders.

Whether you’re AI-curious, cautious, or already experimenting, this session will sharpen your understanding of what’s possible and what’s at stake as we enter the next phase of AI adoption in wealth management.

PIMFA Webinar: Tackling Non Financial Misconduct and the FCA’s new Rules and Guidance
2026-01-29 14:00 - 15:00 | https://www.pimfa.co.uk/event/nfmwebinar/
From 1 September 2026, wealth and advice firms will be subject to the FCA’s tougher stance on non-financial misconduct. This means that serious cases of bullying, harassment, or violence that lead to certain types of disciplinary action must be reported to the regulator, not just handled internally. On 12th December 2025, the FCA published its Policy Statement (PS) 25/23, confirming final Handbook guidance for firms in relation to tackling non-financial misconduct.
In this FREE 60-minute webinar, employment lawyers Chris Holme and Shadia El Dardiry, joined by regulatory lawyer Anousheh Bromfield of Clyde & Co cut through the complexity to address:

What the new Rules and Handbook guidance mean in practice;
What practical steps firms should be taking between now and 1 September;
What are the implications going forward in terms of balancing employment law with regulatory duties.

Think Tank Series: Modernize Data Foundations
2026-01-29 18:00 - 19:30
About the series
Looking for a space to challenge the status quo of wealth and asset management?
Welcome to the Think Tank series—a bold forum for tackling the real pressures facing WAM today. From shrinking margins to clunky legacy tech and complex regulations, we know leaders are navigating big obstacles with limited room to move. This isn’t about showcasing solutions—it’s about sparking smarter, faster change.
Led by industry voices and powered by Publicis Sapient’s deep expertise, each session digs into how tools like Agentic AI can unlock speed, reduce risk and create real value. With practical use cases, fresh insight and unfiltered dialogue, this is where transformation gets real.
Drop in for one session or join us for the full series—this is where real change begins.
This session: Modernize Data Foundations
Everyone talks about “data as an asset,” but when you’re dealing with fragmented systems, slow reporting and manual workarounds—it becomes a liability fast.
This conversation is about how firms are finally getting their data foundations in shape so they can move faster, stay compliant and actually trust the numbers they’re making decisions on.
We’ll dig into:

What it takes to harmonize systems without a massive overhaul
How others have improved speed and security at the same time
Simple steps to make audit-readiness a given—not a fire drill

This one’s focused squarely on the messy, practical reality of getting data right.
Event Details
January 29, 2026
6:00–7:30pm
Publicis Sapient office: 63 Turnmill St, London, EC1M 5NP
Find out more about Publicis Sapient at publicissapient.com.

Please click on the VIST SITE button above to book
