Podcasts

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.

The business case for diversity and inclusion is stronger than ever before, but barriers and misconceptions around data and quotas still abound today. To support PIMFA member firms tackle these issues, Clyde & Co employment team specialists Chris Holme and Vicky Jervis take a closer look at why member firms should pay particular attention to inclusion and what efforts they can make to drive real...

The future is right here and right now, but how can Wealth Management firms become masters of their own future against a tide of regulation, new client expectations and intense competition? In this podcast that followed the webinar “How to build an innovative financial advisor in under seven months?” founder and CEO of Kidbrooke Fredrik Davéus discusses with the CEO of Evida, August Schmitz, what...

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.

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...

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.

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.