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Gain expert guidance on mastering transaction reporting requirements, ensuring compliance, and implementing best practices under evolving regulatory standards.
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The FCA still believe that firms subject to IFPR, can and must improve the implementation of the internal capital adequacy and risk assessment (ICARA) process and reporting requirements under IFPR. Identifying good practices in many firms, the FCA still found ‘significant failings’ in applying capital models for operational risk. In this FREE 60-minute webinar, Thistle Initiative’s experts unpack the FCA latest expectations, highlighting where and how PIMFA member firms must revisit their IFPR implementation and ICARA reporting to ensure the adequacy and operating effectiveness of your ICARA process follows good industry practice By attending this webinar, you will learn how to: Identify areas of improvements in your most recent ICARA document and wind-down plan. Recognise instances of poor regulatory data submissions. Build additional rigour around your approach to identifying, assessing, and mitigating harms. Correctly forecast liquid asset threshold requirements. Building in FCA Supervisory Review and Evaluation Process (SREP) resilience into the ICARA.
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Celebrate excellence in Diversity & Inclusion across the wealth management and financial advice sector. The PIMFA D&I Awards 2024 recognises individuals and firms driving meaningful change, fostering inclusive cultures, and championing equality in our industry.
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Learn how to conduct fair value assessments that meet FCA Consumer Duty requirements.
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UK Financial Advisers: Join the Morningstar Adviser Forum London Thursday, 17th October 2024 | 14:00 - 16:00 GMT| Morningstar U.K. 1 Oliver's Yard, 55-71 City Road, London, EC1Y 1HQ.
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The Chartered Institute for Securities and Investment (CISI) Birmingham committee would like to invite you to attend their upcoming Young Professionals’ Network (YPN) event, hosted by Aston University. We hope that you will join us for this half-day event where we will hear from a number of professionals from within the finance industry, from recent graduates to established practitioners, who will share with us their thoughts, knowledge and advise on pursuing a career into finance and the different routes available. Attendees will benefit from hearing from established local practitioners such as Graham Nicoll, Director of Wealth for Succession Wealth with over 20 years of experience in wealth management and Rob Craik, Deputy Head of Operations at EFG Harris Allday as well as many other individuals including those who will give their experience on their perspective of recently joining the industry. This event is open to members and non-members alike so we hope you'll join us at this event and make the most of our resources, aimed towards young professionals in the industry. Please either book your place via this website or email your first & last name and email address to events@cisi.org and we book your places for you. The CISI Young Professionals' Network, attracting young professionals between the ages of 18 and 35, focuses on harnessing your competitive edge and professional development skills, including leadership, communication, teamwork, problem-solving and adaptability - so you'll feel like a superstar in your role.
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Gain expert insights and actionable strategies to embed customer-centric practices across your business.
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In April 2023, FCA’s Sarah Pritchard highlighted at City Week that while cryptoassets are growing in popularity, many consumers don’t fully understand the risks involved. This lack of understanding poses significant risks not only to consumers but also to firms. With the introduction of consumer duty, firms face substantial consequences if they fail to meet regulatory standards. Join our live event to discover key strategies for managing these risks effectively. In this live webinar we discuss the following aspects: • Key risk considerations • Global regulatory themes • Impacts for firms • Crucial steps for success • Ruleguard’s approach to risk management To learn more about Ruleguard’s risk management solutions visit https://www.ruleguard.com/function/enterprise-risk-management-software.
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PIMFA Live Online Training: Mastering Fair Value Assessments: Aligning with Consumer Duty Standards