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Uncover how firms can stay ahead of CASS compliance challenges and prepare effectively for potential s166 reviews before issues escalate.
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Join PIMFA’s webinar to explore how firms can prepare for potential s166 reviews by strengthening CASS compliance and mitigating risks before issues escalate.
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PIMFA’s SMF (Senior Managers Function) Regulatory Briefing Programme is a 12-month online leadership programme for time-strapped senior managers who need to cut through the regulatory noise and grasp, from a senior leader's perspective, how to better measure, manage, and monitor compliance and regulatory risks within their firm.
Ensure your firm meets regulatory expectations and delivers fair outcomes for vulnerable customers. This session provides practical steps to apply PIMFA’s Customer Vulnerability guidance, embed best practices, and strengthen your approach to identifying and supporting vulnerable clients.
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Non-Financial Misconduct (NFM) is now a boardroom issue. Workplace behaviours such as harassment, bullying, discrimination and abuse are, in the eyes of the regulator, indicators of a poor workplace culture, lacking diversity and inclusion in your firm. High-profile cases from the past year and the recent FCA D&I Consultation Paper (CP23/20) underscore that non-financial misconduct poses a significant business risk that needs addressing.
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O-IM's Investment Team will reflect on their three-year track record, discuss the key drivers behind the performance, and share their outlook for the months ahead. For more information contact john.muir@o-im.co.uk, 07821 535587 or click here.
Disruptions to critical, or important business services can have far-reaching consequences not just for the financial services, but national economies and consumers. In this event, Ruleguard provides a snapshot of the UK’s operational resilience framework, outlines key requirements of the EU’s Digital Operational Resilience Act (DORA) and how operational resilience aids transparency and builds trust with consumers. For further information click here.
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PIMFA Learning: Customer Vulnerability: Applying and Implementing PIMFA’s guidance in your firm