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DTSTART;TZID=Europe/London:20250114T110000
DTEND;TZID=Europe/London:20250114T120000
DTSTAMP:20260430T182249
CREATED:20241107T095055Z
LAST-MODIFIED:20251118T162321Z
UID:317299-1736852400-1736856000@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: CASS: The calm before the s166 storm
DESCRIPTION:Before the FCA initiates a Section 166 review of your firm’s approach to CASS\, the regulator typically takes several preliminary steps to assess your firm’s compliance and risk profile. Yet for many firm’s the regulators actions before a s166 is triggered\, remain a mystery. \nIn this FREE 60-minute webinar\, we unpick the crucial steps leading up to a Section 166 notice\, demystifying the key processes and interactions the FCA undertakes before a review of a firm’s approach to CASS is initiated.\nTo avoid a painful and costly review of your CASS governance and oversight arrangements\, our panel our experts discuss: \n1. How the FCA is conducting routine supervisory activities on your approach to CASS in 2024. \n2. How the regulator uses data from regulatory submissions and reports to assess and manage your firm’s CASS risks. \n3. How a firm’s CASS compliance breaches informs the FCA’s decision-making process. \n4. How to identify and assess issues that could lead to a s166 review of your firm’s CASS culture\, governance\, and organisational arrangements. \n5. How to proactively use market intelligence\, thematic reviews\, and inspections to eliminate weaknesses in your CASS environment.
URL:https://www.pimfa.co.uk/event/pimfa-webinar-cass-the-calm-before-the-s166-storm/
CATEGORIES:Learning,Webinars
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BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250121T110000
DTEND;TZID=Europe/London:20250121T120000
DTSTAMP:20260430T182249
CREATED:20241107T100118Z
LAST-MODIFIED:20251118T162150Z
UID:317999-1737457200-1737460800@www.pimfa.co.uk
SUMMARY:PIMFA Webinar: CASS Skilled Person Review: How to Respond\, Tackle and Avoid Action
DESCRIPTION:The FCA’s Section 166\, “Skilled Person Review\,” is one of the regulator’s go-to tools they’re not afraid to use\, when assessing your firm’s compliance with the CASS rules. No need to be concerned? Think again\, as s166 reviews continuing to rise across the sector\, firms should be in no doubt that the FCA is prepared to appoint an independent third party to conduct a ‘drains up’ review of your approach to CASS. \nEven for the largest firms\, a S166 review is intrusive\, expensive\, time-consuming\, and incredibly resource-intensive as your firm attempts to demonstrate effective risk management and adherence to regulatory standards. \nIn this FREE 60-minute webinar\, we’ve assembled a panel of FCA-appointed skilled persons alongside specialists in CASS compliance to answer your most pressing concerns about the s166 review process. No question is off limits as we tackle: \n1. ‘Help\, we’ve got a s166 notice!’\n2. What to do if The FCA commissions a s166 review\n3. How to get the most from a CASS s166 review\n4. The costs of a skilled person review\n5. The foolishness or wisdom of challenging the findings of a s166 review\n6. The most effective strategies to avoid a skilled person review \n  \n  \n  \n 
URL:https://www.pimfa.co.uk/event/pimfa-webinar-cass-skilled-person-review-how-to-respond-tackle-and-avoid-action/
CATEGORIES:Learning,Webinars
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BEGIN:VEVENT
DTSTART;VALUE=DATE:20250128
DTEND;VALUE=DATE:20250129
DTSTAMP:20260430T182249
CREATED:20241119T132753Z
LAST-MODIFIED:20251029T134845Z
UID:318412-1738022400-1738108799@www.pimfa.co.uk
SUMMARY:PIMFA Learning: The SMF Regulatory Briefing Programme 2025 - All You Need to Know About Everything That Matters Most
DESCRIPTION:What the FCA expects from Senior Managers \nThe FCA takes the competence of your Senior Managers very seriously. Upon applying to become an SMF\, the FCA expects an individual to demonstrate a high level of skill and knowledge to carry out the role\, supporting their application by completing a skills gap analysis\, learning and development plan\, and competency assessment. \nRemaining Fit and Proper \nBut the regulator’s scrutiny of an SMF doesn’t stop at the application stage. The FCA expects your firm to ensure that your SMF holders continue to possess the requisite skills\, particularly concerning the latest regulatory developments. Annual fit and proper assessments\, mandated by the regulator and conducted by your firm\, are not a ‘tick box’ exercise requiring you instead to carefully assess whether your senior managers are competent in performing their roles. \nThe solution \nPIMFA’s new 12-month ‘SMF Regulatory Briefing Programme’ supports SMF holders in learning everything they need to know about the issues that matter most to them. It also prepares prospective SMF holders for the highest level of leadership. The programme consists of a series of live\, monthly\, online one-hour sessions on critical compliance\, risk and financial crime challenges\, enabling SMFs to: \n\nKeep up to date with the latest regulatory trends and initiatives\nDemonstrate their commitment to regulatory proficiency\nAccess the training at a convenient time\, through our on-demand learning platform\nDocument CPD activity as required\n\nHighlights and key outcomes \nBy enrolling on ‘The SMF Regulatory Briefing Programme 2025’\, SMFs will be able to: \n\nEvidence to the FCA their in-role competency and capability required under SMCR.\nRapidly assess the firm’s compliance exposure and vulnerabilities.\nGet ahead and make sense of a broad\, complex\, and ever-evolving regulatory and compliance landscape.\nSet priorities to develop a proactive regulatory change management programme.\nLead your firm on how best to mitigate risks\, create a firm-wide compliance culture\, make sound decisions\, and build resilience across the business.\nImprove their strategic thinking and ability to respond to regulatory change effectively.\nExplore with peers the latest research and best practices for managing risk to safeguard enterprise value.\n\nSession format \nEach session includes a mix of expert-led presentations\, real-world case studies and small group discussions. \nProgramme topics and schedule \nThrough 12 sessions\, SMFs develop the knowledge and insights on the latest regulatory changes and compliance challenges required to protect their firm’s assets\, reputation\, and competitive advantage. \nFormat: 12 x 1-hour monthly sessions \nDelivery: Live\, expert-led online learning sessions \nStart date: 28 Jan 2025 – 11th Dec 2025 \nDuration: 12 months
URL:https://www.pimfa.co.uk/event/pimfa-learning-the-smf-regulatory-briefing-programme-2025-all-you-need-to-know-about-everything-that-matters-most/
CATEGORIES:Learning,Programmes
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LOCATION:
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DTSTART;TZID=Europe/London:20250128T140000
DTEND;TZID=Europe/London:20250128T170000
DTSTAMP:20260430T182249
CREATED:20241127T083822Z
LAST-MODIFIED:20251113T155816Z
UID:318906-1738072800-1738083600@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Customer Vulnerability: Applying and Implementing PIMFA’s guidance in your firm
DESCRIPTION:Customer vulnerability is a complex area that PIMFA member firms must get right. Ultimately\, it is about identifying customers with vulnerable characteristics and ensuring they consistently experience good outcomes. That’s not as easy as it sounds\, especially when The FCA has made clear that it will apply a vulnerability lens to its ongoing supervisory and enforcement work. \nThis live tutor-led training course delivered by vulnerability experts at the Money Advice Trust\, based on PIMFA’s recently published 160-page guide\, “Understanding Customer Vulnerability”\, supports wealth managers and financial advisors who want to improve how they can: \n\nEmbed a focus on vulnerability into their strategy and culture.\nEnsure they are asking the right questions about the data\, management information\, and data they need to deliver the right outcomes and experiences for customer vulnerability.\nAccount for customer vulnerability in product and service design.\nActively monitor customer behaviour and consider potential vulnerability in customer interactions.\nSupport and enable customers with characteristics of vulnerability to disclose their needs.\nCapturing and retrieving information about vulnerability during subsequent customer interactions\n\nBy enrolling on this course\, you’ll be able to answer with confidence the following questions: \n\nHow do you identify customer vulnerability\, and what criteria do you use for this assessment?\nWhat specific support mechanisms are in place to assist customer vulnerability throughout their interaction with your firm?\nHow do you tailor and test communication strategies to ensure that customers with vulnerable characteristics understand the products and services offered?\nAre your services and communications accessible to all customers\, including those with disabilities or other barriers?\nHow do you monitor the effectiveness of your support for customer vulnerability\, and what metrics do you use?\nWhat procedures do you have in place for escalating the needs of customers with characteristics of vulnerability to senior management or specialised teams?\nHow do you ensure that products and services offered to customers with vulnerable characteristics appropriately meet their needs?\n\nWho Should Attend: \n\nSMF holders who require the knowledge and understanding to promote a culture of awareness and responsiveness to vulnerable clients in line with current and future FCA expectations.\nSales & Marketing Directors tasked with ensuring that the firm’s financial promotions and customer communications don’t exploit vulnerable consumers.\nCompliance and Risk leaders that want a proven framework to better recognise\, assess\, and manage potential risks related to customers with characteristics of vulnerability .\nRegulatory risk professionals and in-house counsel who\, having identified evidence of consumer harm or risk of harm to customers in vulnerable circumstances\, need to develop a remediation strategy to avoid assertive supervisory and enforcement action.\n Internal auditors who wanting to ‘up their firm’s game’ seek to ensure effective monitoring and reporting mechanisms are in place to track how the firm identifies and serves customer vulnerability\, evaluating both the processes and the outcomes.\n\nOffer: Bring your colleague along for free – please enter code 6JZWEFP5 at checkout.
URL:https://www.pimfa.co.uk/event/pimfa-learning-customer-vulnerability-applying-and-implementing-pimfas-guidance-in-your-firm/
CATEGORIES:Learning,Live Learning
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BEGIN:VEVENT
DTSTART;TZID=Europe/London:20250129T100000
DTEND;TZID=Europe/London:20250129T120000
DTSTAMP:20260430T182249
CREATED:20241107T101257Z
LAST-MODIFIED:20260112T171440Z
UID:317985-1738144800-1738152000@www.pimfa.co.uk
SUMMARY:PIMFA Learning: Non-Financial Misconduct: Guidance and Toolkit To Avoid Non Compliance
DESCRIPTION:Whether certain behaviours of individuals working in financial services\, particularly outside of the workplace\, fall under the FCA’s supervision’s remit is much debated; what’s not is the regulator’s belief that ‘non-financial misconduct can amount to a breach of our [FCA] conduct rules’. \nIn this practical\, scenario-based\, in-person training session\, delivered by regulatory and employment lawyers who have dealt with non-financial misconduct issues firsthand\, you’ll learn how to navigate the challenges of investigating NFM in your firm\, understand when NFM might breach the conduct rules and assess the impact of NFM on the fit and proper assessment. \nImmediately after the training\, you will receive a zip folder of key resources and checklists referred to in the training session which you can use to help you enhance your policies\, processes\, and practices around NFM. \nAttending this session and leveraging the resources will give you the knowledge and confidence to: \n1. Ready your firm for anticipated new rules on NFM.\n2. Align your firm’s whistle-blowing policy\, reporting process and procedure to the regulators expectations\n3. Recognise and escalate NFM incidents appropriately\n4. Manage NFM incidents\n5. Ensure regular communications between the HR and compliance teams to deal with and manage NFM incidents\n6. Assess what may amount to ‘serious’ misconduct\n7. Accurately record NFM incidents\n8. Understand when NFM should be reported to the FCA \nWhat you’ll cover in the session: \n– Overview of Non-Financial Misconduct (NFM)\n– FCA’s Stance on Non-Financial Misconduct\n– Regulatory Framework and Guidelines\n– Compliance Obligations for PIMFA member firms\n– Key Responsibilities of Senior Managers\n– Reporting and Documentation Requirements\n– Implementing Effective Policies and Procedures\n– Approaches to creating a Positive Organisational Culture\n– Establishing Clear Conduct Standards\n– Training and Awareness Programs\n– Monitoring/measuring culture\n– Whistleblowing\, complaints handling and investigations\n– Discipline for NFM\n– Regulatory references\n– Reporting to the FCA\n– Interactive Case Studies of Non-Financial Misconduct in Financial Services\n– Lessons Learned from Past Incidents\n– Best Practices for Mitigating Non-Financial Misconduct\n– Successful Strategies from Leading Firms\n– Continuous Improvement and Learning\n– Monitoring and assessments\n– Q&A Session \nWho Should Attend: \n• Compliance and Conduct leaders seeking guidance on how to:\n– Deal with allegations of non-financial misconduct\n– Recognise whether NFM is an isolated incidence or an indicator of a wider culture issue \n• HR leaders who want to ready their firm’s response for new FCA rules and guidance\, including the impact NFM could have on remuneration and how NFM should be dealt with in a regulatory reference. \n• In-house counsel who seek assurance of when and how to respond to allegations of non-financial misconduct. \nThis training course will take place IN PERSON at the DAC Beachcroft London Office located at 25 Walbrook\, London EC4N 8AF \n  \nBring a colleague along for free! \nUse VOUCHER CODE  BG3N8AKH at checkout to claim this buy-one-get-one-free offer! \n  \nThis voucher can only be used when purchasing 2 full price tickets
URL:https://www.pimfa.co.uk/event/pimfa-learning-non-financial-misconduct-guidance-and-toolkit-to-avoid-non-compliance/
CATEGORIES:Learning,Live Learning
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