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X-WR-CALDESC:Events for PIMFA - Building Personal Financial Futures
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DTSTART;TZID=Europe/London:20240507T100000
DTEND;TZID=Europe/London:20240507T110000
DTSTAMP:20260501T014231
CREATED:20240325T093228Z
LAST-MODIFIED:20251119T103007Z
UID:308250-1715076000-1715079600@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: Taking the sting out of your next CASS Audit
DESCRIPTION: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. \nIn 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. \nKey discussion topics panellists debate include: \n1. How your firm can complete a CASS audit in less time\n2. Why CASS audit fees are rising and what you can do about it\n3. The increasing role and importance of technology in your approach to CASS\n4. What’s the upside of conducting a CASS health check
URL:https://www.pimfa.co.uk/event/pimfa-webinar-taking-the-sting-out-of-your-next-cass-audit/
CATEGORIES:Learning,Webinars
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BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240514T090000
DTEND;TZID=Europe/London:20240514T123000
DTSTAMP:20260501T014231
CREATED:20231018T084948Z
LAST-MODIFIED:20251119T171238Z
UID:297599-1715677200-1715689800@www.pimfa.co.uk
SUMMARY:The PIMFA CASS Academy 2024
DESCRIPTION: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. \n 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. \nThe 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. \nPlease visit our microsite to find out more \nBOGOF OFFER!!!! \nPlease use Coupon  CASS2024 at checkout for 50% OFF two tickets
URL:https://www.pimfa.co.uk/event/pimfa-cass-academy-2024/
CATEGORIES:Learning,Programmes
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DTSTART;TZID=Europe/London:20240516T093000
DTEND;TZID=Europe/London:20240516T123000
DTSTAMP:20260501T014231
CREATED:20240308T111231Z
LAST-MODIFIED:20251113T161634Z
UID:307760-1715851800-1715862600@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Learning: Masterclass: How to Prepare\, Write and Review Your First Consumer Duty Board Report
DESCRIPTION: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. \nThe 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. \nThe 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. \nAs 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. \nFormat \nPart 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. \nContent \nThis live and interactive masterclass will address the ten critical elements of the Board report that firms must get right: \n1. The Executive Summary\n2. Customer outcome monitoring\n3. Root cause analysis\n4. Actions\n5. 3LOD assurance\n6. Culture and purpose\n7. FCA engagement\n8. Consumer Duty Champion\n9. Business strategy\n10. Board approval \nKey questions this masterclass will answer includes\, how your firm can: \n1. What does a detailed and well evidenced Report Board Report look like?\n2. Determine what resources you need to put the Board Report together\n3. Reveal and address the gaps in your outcomes monitoring framework and Reporting\n4. Obtain an appropriate range of relevant qualitative and quantitative metrics\n5. Ensure that the report is effectively owned doesn’t get stuck in the second line\n6. Retain a sense of proportionality\, whilst retaining the quality and completeness the FCA expects\n7. Evidence that your firm’s culture and purpose align with the Duty\n8. Identify and document poor outcomes\, detailing the remedial action(s) taken\n9. Grasp what good practice looks like when it comes to documenting your approach to vulnerable customers\n10. Demonstrate that there has been robust engagement\, scrutiny and challenge from Senior Management\, NEDS and the Consumer Duty Board champion\n11. Construct a plan to improve outcomes and evolve compliance with the Duty\n12. Assess how future business strategy is consistent with the Duty \nBy attending this masterclass\, you will be able to: \n1. Follow a clear plan of action to produce a Board Report that aligns to the FCA’s guidance\n2. Compare your approach to Board Reporting with industry peers and regulatory expectations\n3. Reflect\, in your report\, the perspectives and priorities of the Board/governing body\n4. Develop a clear approach to writing a Report that is purposely\, focused and more balanced\n5. Employ proven design principles\, in line with industry good practice\n6. Avoid the trap of presenting too much data and too little information\n7. Making the mistake of Reporting too much on what has happened\n8. Reflect in your content\, the areas the FCA will focus and scrutinise\n9. Use the time to complete a robust ‘dry run’ to identify any gaps and issues\n10. Create a plan of action up to July\, to allow for any necessary reviews and governance steps \nWho should attend this masterclass? \nConsumer 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. \nBoard 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. \nSenior 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.
URL:https://www.pimfa.co.uk/event/pimfa-live-online-learning-masterclass-how-to-prepare-write-and-review-your-first-consumer-duty-board-report/
CATEGORIES:Learning,Live Learning
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BEGIN:VEVENT
DTSTART;TZID=Europe/London:20240521T093000
DTEND;TZID=Europe/London:20240521T123000
DTSTAMP:20260501T014231
CREATED:20230928T083021Z
LAST-MODIFIED:20251120T162353Z
UID:293993-1716283800-1716294600@www.pimfa.co.uk
SUMMARY:PIMFA Live Online Training: Reputation\, Resilience and Risk: Are You Getting It Right?
DESCRIPTION:Will your firm still be trusted by your clients after a major disruption or even crisis has occurred? \nToday\, 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 more holistic perspective. For example\, the proposed The Companies (Strategic Report and Directors’ Report) (Amendment) (the Regulations) 2023 (in draft for approval by Parliament)\, will oblige in-scope firms to provide a Resilience Statement and a separate Material Fraud statement. \nWhy you should attend  \nIn this interactive session\, you will examine the lessons learnt from recent reputational incidents to ensure your firm is prepared to tackle existing and potential threats. In addition\, you’ll take away a toolkit of battle-tested frameworks\, proven strategies\, and key resources to better measure\, manage\, and monitor risk in your firm. \n‘Bring your colleague along for FREE to this session’ \nBy the end of the session\, you’ll: \n• Benchmark your firm’s approach to resilience against your peers \n• Assess your firm’s potential risks\, such as operations threats\, reputation damage\, cyber-attacks\, and unexpected global events \n• Test and strengthen your firm’s approach to managing both internal and external risks to align with FCA expectations \n• Build and integrate processes that anticipates\, prioritises\, and mitigates threats \n• Develop an action and implementation plan to better protect your firm’s reputation \nSpecific areas you will cover in this session include: \nStrategic Analysis. A “what is going on here?” analysis of tectonic forces that are creating increasingly volatile\, uncertain\, complex\, and ambiguous (VUCA) business environment. How this can lead to challenges to firms’ reputation and trustworthiness\, beyond operational disruptions envisaged by Operational Resilience regulations. \nIntegrated Approach. A set of guiding integrated principles and good practices that build upon and join the dots between existing regulatory obligations and can be developed and implemented by firms to enable and protect firms’ achievement of their purpose\, value generation and strategy. \nCulture. Consideration of culture\, individual and collective knowledge\, skills\, attributes\, and behaviours good practice. How these can build and maintain trust even when challenged\, but also can enable thinking fast and right in VUCA environments. \nWho should attend? \n• CEO and board members who seek to develop a strategic approach to managing non-financial risk\, building and maintaining business resilience\, not just operational resilience compliance\, over the short\, medium and long-term \n• Executive and senior leaders (COO\, Financial\, Risk\, Strategy\, Compliance\, Technology\, Security\, HR\, etc) who wish to breakdown silos to achieve shared understanding of managing risk and resilience. \nThis open session is aimed to provide a safe environment for peers to allow a diagnosis of the challenge and the key questions for boards and executives to ask themselves and their firms’. A more tailored closed session(s) can be provided for individual PIMFA members to workshop and scenario test specific challenges and to develop strategy accordingly.” \n  \nBring a colleague along for free! \nPlease use Coupon BOGOF-RES2024 at checkout for 50% OFF two tickets
URL:https://www.pimfa.co.uk/event/pimfa-live-online-training-reputation-risk-masterclass-series/
CATEGORIES:Learning,Live Learning
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