Podcasts

In this episode of PIMFA’s podcast, host ⁠Alexandra Roberts⁠, Head of Regulatory Policy and Compliance at PIMFA, is joined by ⁠Helen Murphy⁠ and ⁠Daisy Fitches⁠ of ⁠Avyse Partners⁠. They delve into the complexities of transaction monitoring within the wealth management sector—a topic of increasing regulatory focus.

Is the FCA's ⁠five-year plan⁠ really a bold new strategy, or 'more of the same'? In this podcast, ⁠Simon Harrington⁠, Head of Public Affairs at PIMFA and ⁠Andrew Strange⁠, Director of Financial Services and Regulatory Insights at PwC, reflect on what the FCA's recently published five-year plan means for PIMFA member firms.

In this PIMFA podcast episode, host David Ostojitsch interviews Peter Tyler, Director of Personal Banking at Trade Body UK Finance, and David Collington, Senior Manager at KPMG’s Regulatory Insight Centre. Together, they discuss the implications of the Chancellor's recent Mansion House speech and subsequent reforms on the financial services sector.

What does effective Transaction Reporting really look like and where are firms still getting it wrong?

In this episode, host Philip Allen sits down with Daren Allen, a partner in the Dispute Resolution and Litigation team at law firm Shoosmiths, to discuss the latest trends in financial crime and enforcement actions taken by the FCA in 2024, offering insights for PIMFA member firms on what to expect in 2025.

In this episode, PIMFA's Philip Allen is joined by financial crime consultants Holly Avent and Poppy Penson from Avyse Partners to unpack the critical insights shared at PIMFA's 2025 financial crime conference.

Peter Haines and Nigel Sydenham of CCL Academy discuss the key insights from a recent live webinar attended by 50+ Senior Manager Function (SMF) holders. They explore the challenges SMFs face in keeping up with regulatory expectations, particularly in areas like AI, consumer duty, and non-financial misconduct. The conversation highlights significant knowledge gaps among SMFs and emphasises the importance of prioritising learning and understanding regulatory...

In this podcast, Philip Deeks, Head of KPMG's Regulatory Insight Centre, shares how PIMFA member firms can snatch victory from the jaws of regulatory pressure in 2025. And whilst we take time on this podcast to look back - with some relief - on 2024, Philip shares KPMG's expectations and predictions as to how, over the next 12 months, wealth managers and financial advisers can...

In this podcast, David Ostojitsch and Alex Roberts from PIMFA discuss the importance of addressing customer vulnerability in financial services. They explore PIMFA’s newly launched ‘Customer Vulnerability Guide’. The conversation covers the challenges firms face in identifying vulnerable customers and the need for a supportive organisational culture. Additionally, they highlight the potential of technology to help identify vulnerabilities and offer resources to enhance firm practices.

Your firm has received another clean CASS audit, so what’s the issue? Just because past breaches have not impacted your firm, can you really afford to get by without changing a thing?

Demonstrating compliance with the CASS rules is still a challenge for some firms, but it need not be. To explain more we get the thoughts of Katherine Leaman, co-founder and lead trainer on The PIMFA CASS Academy and Priscilla Gaudoin, Head of Risk and Compliance at software provider Ruleguard.

In the first of our four-part audio short series, taken from PIMFA’s most recent webinar on “MiFIR Transaction Reporting: How PIMFA member firms can Achieve Accurate, Complete and Timely Reporting”, Simon Appleton and Matthew Vincent from Kaizen join PIMFA’s Kevin Sloane to highlight “The Three Most Common Reporting Errors".