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

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

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

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

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

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

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

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

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

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

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

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

PIMFA Webinar: Authentic Leadership Programme 'Find out more' January 2024
2023-12-04 12:45 - 13:45
We would like to invite you to discover more about PIMFA’s ‘Authentic Leadership: How to Thrive as a Female Leader in Wealth and Finance’ programme with this FREE 60 minute, no obligation webinar.
In this webinar with executive coach Caroline Holt, you will:
• Find out if the programme is appropriate for you or your colleagues
• Hear about women graduates who have completed the programme
• Get your questions answered about the programme – what you will get from it, how it all works, the admission process and fees
• Discover how this programme differs from other Women in Leadership programmes for women

PIMFA Webinar: Authentic Leadership Programme 'Find out more' November 2023-2
2023-12-04 12:45 - 13:45

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

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

PIMFA Under 40 Forum 2023
2023-12-13 14:00 - 18:00
For the past 6 years, PIMFA has run the Millennial forum of individuals from our membership. This has since become the Under 40 Leadership Committee. Its purpose is to bring together bright minds to debate, research and consider pressing issues facing our industry. Their findings result in a report, which is published and widely circulated.
At the event on December 13, The Under 40 Forum members will be presenting their findings from their work this year, including topics which affect our industry. The day will also welcome industry expert speakers.
This event is free for PIMFA members to attend.
If you are interested in attending please contact the team on events@pimfa.co.uk – places are limited and will be allocated on a first-come, first-served basis.
Event Details:
Date: 13 December 2023
Times: 14:00 – 18:00
Venue: Fidelity International, 4 Cannon Street. EC4M 5AB

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

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

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

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

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

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

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

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

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

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

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

PIMFA Consumer Duty Conference 2024
2024-02-28 10:00 - 18:00
The Consumer Duty is one of the most significant regulatory initiatives in recent years with the FCA considering it a major step change for financial services, requiring firms to make lasting changes to culture and behaviour to consistently deliver good outcomes.
Following the success of 2023’s conference, put on for PIMFA member firms planning ahead of the implementation deadline, we will be reconvening the group to consider the state of play after seven months of the Duty – where implementation has worked well, where the sector still has work to do, and how much of a tangible impact has been made on living up to the ideals aspired to by the regulatory impetus.
The conference will look into how firms have reviewed their product suite, communications and end-to-end customer journey, and how changes have been made in areas such as governance, MI and reporting, product design, pricing, distribution, servicing and staff training.
Register to hear from key industry experts on the key themes of consumer duty. We welcomed a high-level audience who engaged with the experts, to facilitate fruitful discussions with opportunity for questions and networking.
If you’d like to find out more information on attending, speaking or sponsoring the event please contact events@pimfa.co.uk

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

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

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

Programme: View the Programme
Panel 1: Authentic Leaders: Navigating Success in Wealth Management and Financial Advice (4:00 pm – 5:00 pm)
Experience the authenticity of senior leaders sharing insights about their career journey. Discover how they’ve overcome challenges, seized opportunities, and navigated the path to success within the industry.
Panel 2: Stepping in, stepping up: How to make it (5:00 pm – 6:00 pm)
Hear from industry professionals as they share strategies, insights, and personal journeys on how they are making it in the industry.
Interactive Q&A and Virtual Networking Session (6:00 pm – 7:00 pm)
A key component of the event is to engage directly with industry leaders, build meaningful connections, find out how to get into the industry, and discover what organizations look for in future talents. You will have the opportunity to network and interact with industry professionals, including senior HR and recruitment leaders.
Join us in Breaking Barriers – where empowerment meets opportunity! Secure your spot now and let’s inspire inclusion together!
#BreakingBarriers #EmpowerWomenInFinance #IWD2024
For inquiries please contact Oris Ikomi at orisi@pimfa.co.uk or 020 7011 9862

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

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

This event will take place ONLINE

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

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

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

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

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

The PIMFA CASS Academy 2024
2024-05-14 09:00 - 12:30
Research shows that firms continue to fall foul of time-consuming and expensive CASS audits, and even those firms with a mature understanding of the CASS rules aren’t immune to escalating CASS audit fees. The problem often isn’t with knowing the CASS rules – many strategies are well understood – but with execution and application.
The PIMFA CASS Clients Academy is a unique learning experience for member firms who, not content to keep up with CASS requirements, seek to expand their knowledge and strengthen their internal capabilities to arrest rising CASS audit fees and ensure the number of incidences and breaches reported to the FCA continues to drop.
The PIMFA CASS Clients Academy (CCA) will change the way you and your firm approach CASS. You will emerge better able to tackle your firms toughest CASS audit challenges, lead with greater CASS knowledge, and inspire assurance at all levels in your firm that your next CASS audit is a success. CCA rapidly upskills CASS Officers, Operations, Compliance, Certification Function Holders, and Custodians to manage your next CASS audit and withstand scrutiny from regulators, auditors and senior managers.
Please visit our microsite to find out more
BOGOF OFFER!!!!
Please use Coupon CASS2024 at checkout for 50% OFF two tickets

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