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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....
Brexit
The UK's departure from the EU, requiring regulatory adjustments to ensure financial stability 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....
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....
Retail Disclosure Framework
Providing clear, accurate information to consumers about financial products, ensuring transparency and informed decision-making....
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....
Talent, Inclusion, Diversity and Equity (TIDE)
Find out more to see how PIMFA is committed to promoting Talent, Inclusion, Diversity and Equity (TIDE) in our industry....
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....
Advisers' Sustainabilty Group
Industry-led working group to focus on enhancing sustainable finance capabilities within the financial advice sector....
UK Platform Group
An independent group of retail platforms working together to drive positive change. Run by platform firms, for platform firms....
Talent, Inclusion, Diversity and Equity
Promoting talent, a diverse workforce, and creating inclusive environments....
Leading Lights Forum
The PIMFA Leading Lights Forum brings together talented young people from across our member firms who conduct primary research focusing on current hot topics impacting us all across our industry....
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....
PIMFA 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....
make it. Campaign
Our 'make it' campaign is dedicated to changing perceptions and encouraging an exciting and diverse mix of new talent into our industry....
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
The MSCI PIMFA Private Investor Index Series
The MSCI 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....
The MSCI PIMFA Equity Risk Index Series
The MSCI 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...
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....
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 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 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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Webinars On Demand

View previously-recorded PIMFA Webinars.

PIMFA Webinar: SDR One Year On – What’s Changed and What’s Next?

One year after the FCA's anti-greenwashing rule came into effect on May 31st 2024, the FCA announced on April 30th 2025, that it was dropping SDR plans for portfolio managers.…
Published: July 17, 2025
Author: Mariana Oswald
Sustainable Finance and ESG
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Why M&A goes wrong

In this FREE 60-minute webinar, our panel remove the veil and offers a deep dive look into the regulatory hurdles, post-merger complexities and common due diligence failings that threaten to…
Published: July 9, 2025
Author: Mariana Oswald
Mergers & Acquisitions
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Embracing Neurodiversity in Wealth Management and Financial Advice

Published: June 10, 2025
Author: Carly Norman
HR, Culture and Inclusion
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How FCA reviews and regulations will shape M&A in 2025

Watch our webinar with Square4 consulting on how FCA reviews and regulations will shape M&A in 2025
Published: May 14, 2025
Author: Owen Thomas
Operational Resilience
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M&A in Wealth: Trends and Predictions in 2025

With yet another eventful year for M&A now behind us, what does 2025 hold for M&A activity in wealth and personal finance?
Published: March 6, 2025
Author: Owen Thomas
Operational Resilience
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The Duty to Prevent Sexual Harassment

In this FREE 60-minute webinar, employment law experts from DAC Beachcroft LLP will explore what the newly established legal obligation is, means in practice and what steps should be taken to avoid…
Published: February 25, 2025
Author: Owen Thomas
HR, Culture and Inclusion
Operational Resilience
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CASS Skilled Person Review How to Respond Tackle and Avoid Action

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…
Published: February 21, 2025
Author: Owen Thomas
Client Assets Sourcebook (CASS)
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CASS The calm before the s166 storm

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…
Published: January 14, 2025
Author: Owen Thomas
Client Assets Sourcebook (CASS)
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What Senior Managers need to know

FCA fines against firms and individuals totalling £87 million so far in 2024 indicate a serious knowledge gap among senior managers in financial services firms. They are often unprepared and…
Published: November 26, 2024
Author: Owen Thomas
Senior Managers Certification Regime (SMCR)
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Two years of IFPR – Observations, Takeaways and Actions!

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.…
Published: October 9, 2024
Author: Owen Thomas
Markets in Financial Instruments Directive/Regulation (MiFID/MIFIR)
Operational Resilience
Retail Disclosure Framework
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Avoiding a Culture of Complacency

Culture lies at the heart of strengthening your approach to Consumer Duty, Financial Crime, DEI and Vulnerable customers. Yet, despite the frequent reminders from the FCA, wealth management firms still…
Published: June 24, 2024
Author: Owen Thomas
HR, Culture and Inclusion
Operational Resilience
Read More
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