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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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In this live, tutor-led online course, Richard Preece, Chair of PIMFA’s Operational Working Group, assists you to avoid the pitfalls firms make when drafting your self-assessment
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Understand the new duty to prevent sexual harassment in the workplace, explore regulatory expectations, and learn practical steps to create a safe and compliant culture.
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PIMFA Learning: Customer Vulnerability: Applying and Implementing PIMFA’s guidance in your firm
PIMFA Learning: Non-Financial Misconduct: Guidance and Toolkit To Avoid Non Compliance