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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
The UK Wealth Management market has grown rapidly over the last few years. However, while the drivers for growth are well known, the industry still faces many challenges affecting its way of growing sustainably and profitably. By attending this roundtable, we will discuss how the industry can: • Transform business models to simplify against complexity • Build scale to succeed and exceed growth and profitability…
Free
Date & Time: 28th Sep 2023 (8:30 - 10:30)
CPD: 1.5
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 – £3,750.00
Date & Time: 03rd Oct 2023 (9:00 - 12:30)
Location: In Person
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…
Date & Time: 02nd Nov 2023 (0:00 - 23:59)
Location: In Person
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 -…
Free
Date & Time: 09th Nov 2023 (13:00 - 14:30)
Location: In Person
There is no room for complacency for PIMFA member firms regarding financial promotions. The FCA has just announced that it amended or withdrew 1,507 promotions by 54 authorised firms between April – June 2023. Digging through the details of the statement reveals that retail investments and retail lending were the sectors with the highest amend/withdraw outcomes, totalling 70% of interventions with authorised firms. Consumer Duty…
£250.00 – £350.00
Date & Time: 22nd Nov 2023 (9:30 - 11:30)
CPD: 2
Location: In Person
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…
Free
Date & Time: 23rd Nov 2023 (11:00 - 12:00)
Location: In Person