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Hear from leading industry experts on the key issues facing compliance professionals in the investment management and financial advice world. Bringing together a high-level audience who can engage with the experts, this conference will facilitate fruitful discussions with opportunity for questions and networking. …
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£275.00 – £630.00
Date & Time: 25th Sep 2025 (10:00 - 18:00)
CPD: TBC
Location: Hybrid
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. …
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£695.00 – £895.00
Date & Time: 12th Nov 2025 (0:00) - 11th Nov 2026 (0:00)
CPD: 12
Location: Virtual
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…
Free
Date & Time: 07th May 2024 (10:00 - 11:00)
Location: In Person
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…
£2,750.00 – £3,250.00
Date & Time: 14th May 2024 (9:00 - 12:30)
CPD: 18
Location: In Person
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…
£400.00 – £500.00
Date & Time: 16th May 2024 (9:30 - 12:30)
CPD: 3
Location: In Person
Will your firm still be trusted by your clients after a major disruption or even crisis has occurred? Today, Wealth Managers face a confluence of interrelated environmental, economic, and geopolitical crises, magnified over TiKTok, Twitter and Instagram. A firm's value, brand and credibility can be compromised in a matter of minutes. Government, regulators, investors, clients, and other stakeholders are increasingly considering risk and resilience from a…
£400.00 – £500.00
Date & Time: 21st May 2024 (9:30 - 12:30)
CPD: 3
Location: In Person
New legislation coming into effect on 26 October 2024 strengthens the protections available to employees from sexual harassment, by introducing a new duty on employers to “take reasonable steps” to prevent sexual harassment. …
Free
Date & Time: 13th Jun 2024 (11:00 - 12:00)
Location: In Person
Culture lies at the heart of strengthening your approach to Consumer Duty, Financial Crime, DEI and Vulnerable customers. Yet, despite the frequent reminders from the FCA, wealth management firms still need to work on demonstrating to the regulator how they can positively shift the culture needle. In this FRE 60-minute webinar, our experts unpack: Why Culture remains central to the FCA’s supervisory model How to…
Free
Date & Time: 24th Jun 2024 (11:00 - 12:00)
Location: In Person