With the FCA imminently publishing their final policy paper on sustainable investment product labelling, we take a look at how this might impact the Wealth & Advice industry and how firms can manage an ever-growing ESG regulatory agenda. Please join our PIMFA-hosted panel discussion with insights from leading industry representatives, as well as experts from Alpha FMC, a leading management consultancy for the wealth & asset management industry
At Tramshed Tech, Unit D, Pendyris St, Cardiff, CF11 6BH 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 17.30, followed by a breakout session and networking from 18.30 Ready Steady Grow Cardiff – sign up here Registration from 5pm. Seminar Agenda (CPD qualifying): 5.30 Welcome from the Chair, Cai Gwinnutt – Tramshed Tech 5.35 Update on the early-stage market and recent commitments in the Wales, Jess Phillips-Harris of British Business Bank 5.45 Investing in Innovation through the S/EIS, TBC 5.55 S/EIS – company considerations, Adam Lawrence - R W Blears 6.05 Panel Discussion: Under the bonnet with the Fund Managers – Ed Prior - SFC Capital, Darren Evans – Waterspring Ventures, David Blake – Deepbridge Capital, Harry Bell – Charles Stanley, Chair: Cai Gwinnutt – Tramshed Tech 6.25 Journey of a Start-up with Founder Rhiannon Rees of PlantSea 6.35 Closing remarks, Christiana Stewart-Lockhart, EISA 6.40 Move to reception and networking Here’s an overview of this year’s entire series of remaining Ready Steady Grow! events: 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: BBB, Charles Stanley, Fuel Ventures, IFA Magazine, RW Blears Waterspring and Tramshed Tech
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 targets • Better serve clients, differentiate on service and bring clients to the centre of an organisation This event is free for PIMFA members to attend. You must be logged in to your PIMFA account to access the free ticket option. Places are limited so early booking is recommended. Event Information: Date: 28/09/2023 Time: 08:30 – 10:30 Venue: BNY Mellon | Pershing - 160 Queen Victoria Street - London EC4V 4LA
At KPMG, 66 Queen Square, Bristol, BS1 4BE 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 Bristol – sign up here Registration from 4pm. Seminar agenda (CPD qualifying) 4.30 Welcome from the Chair, 4.35 Update on the early-stage market and recent commitments in the South West - Edward Tellwright, British Business Bank 4.45 Investing in Innovation through the S/EIS, - Matt Atwood, KPMG 4.55 EIS / SEIS for founders: how to access the tax benefits, - Anthony Reeves, Michelmores 5.05 Panel Discussion: Under the bonnet with the Fund Managers and Advisers Chair Panellists: Henry Bell - Charles Stanley, Glen Stewart - Committed Capital, Chris Wiles - Foresight, Paul Mattick - Mercia, - Octopus 5.25 Journey of a Start-up with Founder 5.35 Closing remarks, Christiana Stewart-Lockhart, EISA 5.40 Move to reception and networking Here’s an overview of this year’s entire series of remaining Ready Steady Grow! events: 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) To book your place click here 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 OURS SPONSORS: British Business Bank, Charles Stanley, Committed Capital, Foresight Group, KPMG, Mercia, Michel mores and Octopus Investments
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.
At KPMG, 1 St Peter’s Square, Manchester, M2 3AE 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 Manchester – sign up here Registration from 4pm. Agenda 4.30 Welcome from the Chair, Patrick Molyneux 4.35 Update on the early-stage market and recent commitments in the North West – Delyth Edwards, British Business Bank 4.45 Investing in Innovation through the S/EIS, Hannah Barraclough, KPMG 4.55 EIS / SEIS for founders: how to access the tax benefits, Valerie Whalley, RW Blears 5.05 Panel Discussion: Under the bonnet with the Fund Managers and Advisers Chair - Patrick Molyneux Panellists: Harry Bell – Charles Stanley, Jeffrey Faustin - Jenson Funding Partners, Tim Dickens- Octopus Ventures, Jess Jackson - Praetura Ventures 5.25 Journey of a Start-up with Founder Nicola Weedall, Hydr 5.35 Closing remarks, Christiana Stewart-Lockhart, EISA 5.40 Move to reception and networking THANK YOU TO OUR SPONSORS: British Business Bank, Charles Stanley, Jenson Funding Partners, KPMG, Octopus Ventures and Praetura Ventures 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
Our annual event will once again be a full day’s deep dive into sustainable, responsible, ethical and ESG investment. This year's keynote speakers are the FCA’s ESG Manager Sara Woodroffe, who will be discussing SDR and related activity - and NGO Client Earth’s Joanne Etherton. Other expert speakers are UKSIF CEO and expert climate risk actuary Mike Clark. Their sessions will be interwoven with fund managers panels where we will explore how leading managers deal with some of the most important and complex sustainability issues of our time. The day qualifies for up to 6 hours of CPD and there will also be lots of time to mingle with old friends and new throughout the day and at the drinks reception into the evening. For more information and to book your place click here. Date: Thursday, October 5, 2023 Time: 9.30 for a 10:00 AM start Drinks reception: 5.30 - 8.30 Address: Christ Church, Spitalfields, Commercial Street, E1 6LY The event is designed for financial advisers, planners and wealth managers.
At PwC, Central Square, 29 Wellington St, Leeds, LS1 4DL 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 Leeds – sign up here Registration from 4pm. Agenda 4.30 Welcome from the Chair, tbc 4.35 Update on the early-stage market and recent commitments in the North West – Cat Smith, British Business Bank 4.45 Investing in Innovation through the S/EIS, PwC speaker tbc 4.55 EIS / SEIS for founders: how to access the tax benefits, Paul Christian, Ward Hadaway 5.05 Panel Discussion: Under the bonnet with the Fund Managers and Advisers Chair - tbc Panellists: Harry Bell – Charles Stanley, Jeffrey Faustin- Jenson Funding Partners, Matt Nelson- Guinness Ventures, Andrew Aldridge, Deepbridge 5.25 Journey of a Start-up with Founder tbc 5.35 Closing remarks, Christiana Stewart-Lockhart, EISA 5.40 Move to reception and networking 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, Guinness Ventures, Jenson Funding Partners, PwC and Ward Hadaway
At Mills & Reeve, Botanic House, 100 Hills Road, Cambridge, CB2 1PH 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 Cambridge – sign up here Registration from 4pm. Agenda 4.30 Welcome from the Chair, tbc 4.35 Update on the early-stage market and recent commitments in Cambridge – Paul Sullivan, British Business Bank 4.45 Investing in Innovation through the S/EIS, Jan Fachot, PEM 4.55 EIS / SEIS for founders: how to access the tax benefits, Zickie Lim, Mills & Reeve 5.05 Panel Discussion: Under the bonnet with the Fund Managers and Advisers Chair - tbc Panellists: Harry Bell – Charles Stanley, Tim Dickens – Octopus Ventures, Ed Prior - SFC Capital, Sunil Shah - o2h Ventures and Glen Stewart- Committed Capital 5.25 Journey of a Start-up with Founder tbc 5.35 Closing remarks, Christiana Stewart-Lockhart, EISA 5.40 Move to reception and networking Here’s an overview of this year’s entire series of Ready Steady Grow! events: Edinburgh (29Aug) 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, o2h Ventures, Octopus Ventures and PEM
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
As the finance world faces a complex climb, meet the man who’s climbed more mountains than most. We would like to personally invite you to a unique opportunity to learn with Sir Ranulph Fiennes. This exclusive evening is being held by Industrial Thought Group in collaboration with our subsidiary Financial Software Limited on Thursday, 12 October 2023 from 6pm at the Eight Club Moorgate. Please RSVP here so we can confirm your place.
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
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
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.
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