Podcasts

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".

In the second 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 discuss what controls member firms can put in place to meet their regulatory obligations and manage their reporting risks.

In the third 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”, Matthew Vincent from Kaizen joins PIMFA’s Kevin Sloane to review the FCA’s latest reporting expectations that impact PIMFA member firms.

In our fourth and final 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 look at what members should be doing now and in the future to meet their regulatory reporting obligations.

The deadline for implementing the consumer duty has passed, but there's still work to be done embedding it into BAU. Paul Scott, Managing Director of PIMFA associate member Square4, shares his thoughts on the audience poll results from our most recent consumer duty webinar before outlining how PIMFA member firms can clarify and prioritise their day 2 activities.

Let's face it, all firms want to crush their next CASS Audit, addressing any gaps in their systems and processes in time for their firm's formal CASS audit, but actually achieving these goals can sometimes be a different story.

When it comes to cybersecurity, "there's no room for complacency" reasons Mitigo's Kerrie Machin in his message for PIMFA member firms. Wealth Managers and Financial Advisory firms are prime targets for cybercriminals who prey on a firm's lack of vigilance and rely far too heavily on their IT provider to offer the cyber protection the FCA and ICO expect your firm to have in place.