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The Personal Investment Management & Financial Advice Association (PIMFA)

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Why PIMFA
Our Work
Events & Learning
News
Indices
About Us
Why PIMFA
Our Work
Regulatory Policy and Compliance
Ensuring firms adhere to rules, guidelines, and regulations, maintaining market integrity and consumer protection....
Consumer Duty
Consumer Duty requires firms to act in the best interests of customers, ensuring fair outcomes and clear communication....
Customer Vulnerability
Where consumers may be more susceptible to harm, requiring firms to provide fair treatment, support, and tailored services....
Culture & Inclusion
Find out more to see how PIMFA is committed to promoting culture and inclusion in our industry....
Data Protection
Safeguarding data through secure processing, compliance with regulations, transparency, and preventing misuse or unauthorised access....
Financial Crime
Protecting against activities like fraud, money laundering, and market abuse, threatening financial system integrity and consumer protection....
Financial Services Compensation Scheme
The UK’s statutory compensation scheme for customers of UK authorised financial services firms. It can step in to pay compensation if a firm is unable, or likely to be unable,...
Future of Advice
Evolving financial advice models, ensuring accessibility, affordability, and consumer protection in changing markets....
Markets in Financial Instruments Directive/Regulation (MiFID/MIFIR)
Regulation to enhance financial markets transparency, investor protection, and improving trading practices across financial sectors....
Pensions
The increasingly complex pension landscape for firms as they navigate a changing regulatory environment....
Product Disclosure
PRIIPs (Packaged Retail and Insurance-based Investment Products) ensuring transparent, standardised information for retail investors on investment products....
Senior Managers Certification Regime (SMCR)
SMCR (Senior Managers and Certification Regime) ensures accountability, clarifies roles, and enhances individual responsibility within financial services firms....
Sustainable Finance and ESG
Integrating environmental, social, and governance factors into investment decisions to promote long-term positive impact....
Public Affairs
Managing relationships with stakeholders, including government, regulators, and the public, to help shape policy and regulatory outcomes....
Operations
Firm’s internal processes, systems, and controls, ensuring efficient, secure, compliant, and resilient operational functions....
PIMFA Wealthtech
PIMFA's FinTech platform and digital marketplace created to drive innovation and enhance collaboration between FinTechs and the wealth management and financial advice sector....
Groups
PIMFA Groups consist of committees, forums, briefings and working groups for our member firms to discuss and examine key topics within our industry....
Guides
See a range of Guides to support our member firms covering different topics....
Thought Leadership
Engaging with stakeholders to shape policies, providing insights and promoting informed industry discussions....
Response Papers
PIMFA responds on behalf of our membership to regulator and government consultations. We do this via feedback and discussion with member firms via our committees, working groups....
Events & Learning
PIMFA Events
Connect, collaborate and celebrate with PIMFA Events. From insightful webinars and thought-provoking symposiums to prestigious awards and vibrant networking opportunities, our events bring the wealth management and financial advice community...
PIMFA Learning
Elevate your expertise with PIMFA Learning Events - dynamic, industry-focused training designed to empower financial professionals. Stay ahead with cutting-edge insights, practical skills, and networking opportunities tailored for your growth....
PIMFA Learning Programmes
PIMFA Learning provides expert-led courses and resources to help you develop skills and stay compliant in the wealth management and financial advice industry.”...
Podcasts
Short, deep dive conversations with experts on the topics that matter most to you....
Webinars on Demand
View our past webinars on demand....
PIMFA Groups
PIMFA Groups consist of committees, forums and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues such...
Get Involved
Take an active role in shaping the industry's future. Whether you're looking to attend, sponsor, exhibit, or speak, PIMFA Events offer unparalleled opportunities to connect, share insights, and make an...
Industry Events
Stay informed and engaged with PIMFA's Industry Events. Discover a curated selection of conferences, seminars, workshops, and networking opportunities hosted by industry leaders. Stay ahead of trends, gain fresh insights...
News
Indices
Morningstar PIMFA Private Investor Index Series
The Morningstar PIMFA Private Investor Index Series is a set of indices designed to represent the performance of a diversified portfolio of assets that are relevant to private investors....
Morningstar PIMFA Equity Risk Index Series
The Morningstar PIMFA Equity Risk Index Series is a collection of five composite indices designed to mirror the performance of multi-asset strategies employed by UK wealth management firms....
About Us
About PIMFA
PIMFA is the voice of the UK’s personal wealth services sector. PIMFA champions a culture of financial health for all and represents and supports providers of wealth management services, financial...
PIMFA Staff
PIMFA's staff cover a variety of aspects at PIMFA from expert technical guidance to membership support and much more....
PIMFA Board
PIMFA’s Board governs the workings and strategic direction of PIMFA led by our Chairman, Lord Deben, and CEO, Liz Field. It consists of leading senior figures from a representative...
PIMFA Groups
PIMFA Groups consist of committees, forums, briefings and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues...
PIMFA Plus
PIMFA Plus offers our full and associate member firms a suite of valuable services and curated products at bespoke rates from specialised partners that work with PIMFA....
Advisers' Sustainability Group
PIMFA provide the Secretariat to the FCA's industry-led working group to focus on enhancing sustainable finance capabilities within the financial sector....
DFM Connect
DFM Connect is a group of authorised firms providing discretionary investment management services to financial advisers and their clients....
UK Platform Group
An independent group of retail platforms working together to drive positive change. Run by platform firms, for platform firms....
Corporate Social Responsibility/Sustainability
Sustainable Finance & ESG is an area of strategic focus for PIMFA making sure we are championing a high standard for our future....
Annual Report
PIMFA’s annual report is a review of our purpose, activity and key achievements over our membership year which runs from 1st June to 31st May....
PIMFA Members
PIMFA's membership is on a corporate level. We represent both full and associate member firms. See who our member firms are....
PIMFA Careers
Job opportunities at PIMFA....
Find a Firm
Use our online directory to find a PIMFA member firm who can help you manage your money, buy and sell shares and access financial advice....
About Our Industry
Our industry helps people navigate the difficult financial decisions needed throughout the stages of their life. These professionals provide valuable expertise and support. ...
PIMFA Members
PIMFA's membership is on a corporate level. We represent both full and associate member firms. See who our member firms are....
PIMFA Plus
PIMFA Plus offers our full and associate member firms a suite of valuable services and curated products at bespoke rates from specialised partners that work with PIMFA....
PIMFA Groups
PIMFA Groups consist of committees, forums, briefings and working groups which provide an opportunity for individuals from our member firms to discuss relevant topics within our industry and examine issues...
PIMFA WealthTech
PIMFA Wealthtech develops new concepts and promotes the latest technologies for the benefit of our members....
Find a Firm
Use our online directory to find a PIMFA member firm who can help you manage your money, buy and sell shares and access financial advice....
Want to Collaborate?
Get in touch if you would like to collaborate with us in any of these areas. ...
Contact Us
All the details you will need to contact PIMFA....

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PIMFA Response Papers

PIMFA responds on behalf of our membership to numerous key issues within our industry.

PIMFA Response Papers

PIMFA responds on behalf of our membership to numerous key issues within our industry. We do this via vital feedback and discussion with member firms via our committees, working parties and industry forums.

From this member feedback PIMFA create responses to consultation documents and discussion papers issued by bodies such as the UK’s regulator, the Financial Conduct Authority (FCA), Government departments and many European and International bodies.

  • Response Paper Type

  • Response Recipients

  • Date Range of Publication

Found 239 Results

CP26-20 Adapting our rules for changing market: Self-invested personal pensions
Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: August 25, 2026
View Response

CP26 – 24 Simplifying Consumer Investment Disclosures
Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: August 21, 2026
View Response

PIMFA’s response to FSB Sound Practices for Responsible Adoption of Artificial Intelligence (AI): Consultation report
Paper Type: PIMFA Response Papers
Recipients: Financial Stability Board (FSB)
Month Published: July 22, 2026
View Response

UKPG’s Response to DWP on Protecting Pension Savers – Proposals to Amend the Occupational and Personal Pension Schemes (Conditions for Transfers) Regulations 2021
Paper Type: PIMFA Response Papers
Recipients: Department for Work and Pensions (DWP)
Month Published: July 21, 2026
View Response

PIMFA response to the FCA Quarterly Consultation CP26/17 Chapter 2 – Simplifying climate disclosure requirements for investment products
Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: July 14, 2026
View Response

PIMFA response to Simplifying the Pensions and Investment Advice Rule
Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: May 22, 2026
View Response

PIMFA response to Home Office Call for Evidence on Economic Crime Information Sharing
Paper Type: PIMFA Response Papers
Recipients: Home Office UK
Month Published: May 18, 2026
View Response

PIMFA Response to FCA CP26/9: Modernising the Redress System
Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: May 12, 2026
View Response

PIMFA response to Cabinet Office CP on Digital Identity
Paper Type: PIMFA Response Papers
Recipients: Cabinet Office
Month Published: May 7, 2026
View Response

PIMFA response to Consultation: The Appointed Representatives Regime
Paper Type: PIMFA Response Papers
Recipients: HM Treasury
Month Published: April 9, 2026
View Response

CP25/34: ESG ratings: proposed approach to regulation
Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: March 31, 2026
View Response

PIMFA Response to DP25/3 Expanding Consumer Access to Investments
Paper Type: PIMFA Response Papers
Recipients: Financial Conduct Authority (FCA)
Month Published: March 6, 2026
View Response

The scope of regulation is increasing all the time and one of PIMFA’s key objectives is to ensure this regulation is proportionate and fair, bringing real benefits to the investment management and financial advice community and their clients.

Past consultation responses from WMA and APFA can be accessed via their respective archives.

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