Found 28 Results
Signed, sealed and delivered – how your firm can protect your clients
In this episode PIMFA speaks with Paul Holland, CEO of PIMFA+ member organisation Beyond Encryption, to understand how financial advisors, bankers and wealth managers can easily and effectively ensure that confidential information is delivered securely to their clients, not just to meet their regulatory obligations but also to reduce the chances of reputational damage triggered by a regulatory fine or a breach.
Cutting the cost of AML Compliance in Wealth Management Firms
According to LexisNexis Risk Solutions' latest report, ‘Cutting the Cost of AML Compliance’, UK financial services firms are collectively spending a massive £28.7bn on their AML compliance activities annually. We’re joined by one of the authors of the report, Nina Kerkez, director of consulting at LexisNexis® Risk Solutions, and Brian Swanston, UK Head of FCC Advisory at Fidelity International, to discuss what’s driving these costs...
Building an effective compliance program
In this podcast episode we speak with Jason Cropper, Global Head of Commercial, GRC at PIMFA associate member firm Mitratech, on how compliance functions in wealth management firms can create an effective compliance program to proactively manage and stay abreast of an ever-changing compliance landscape.
Identifying and supporting vulnerable clients
In this podcast Alex Roberts, PIMFA Senior Policy Advisor, and Chris Fitch, The Vulnerability Lead at The Money Advice Trust, discuss how PIMFA member firms can develop a clear processes to identify and help a vulnerable customer.