The Personal Investment Management & Financial Advice Association (PIMFA)

Results for {phrase} ({results_count} of {results_count_total})

Displaying {results_count} results of {results_count_total}

Show All Results

Filter by Topics

Select All Topics

Artificial Intelligence

Brexit

Client Assets Sourcebook (CASS)

Consumer Duty

Customer Vulnerability

Cyber Security

Data Protection

Digitisation

Financial Crime

Financial Services Compensation Scheme

Future of Advice

Indices

Investment

Markets in Financial Instruments Directive/Regulation (MiFID/MIFIR)

Operational Resilience

Pensions

Product Disclosure

Public Affairs

Retail Disclosure Framework

Senior Managers Certification Regime (SMCR)

Supervision

Sustainable Finance and ESG

T+1 Accelerated Settlement

Talent, Inclusion, Diversity and Equity (TIDE)

Taxation

Trading and Settlement

Transaction Reporting

Wealthtech

Dictionary

Login Home

Events & Learning

Enquire here about PIMFA membership....

Membership Benefits

PIMFA offers a myriad of membership benefits, from representing members and promoting the value of our industry, to providing expert knowledge and information with practical support and tools....

PIMFA's areas of focus and output across our focus areas and member 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...

PIMFA provides the methodology for the MSCI PIMFA Private Investor Index Series and Equity Risk Index Series....

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....

Events & Learning

Connect, collaborate, and celebrate with PIMFA Events, and elevate your expertise with PIMFA Learning Events....

Constructive Advocacy

PIMFA champions our members to key stakeholders such as regulators, policymakers, business leaders, media and consumers....

Creating Connections

PIMFA are adept at facilitating cross-industry collaboration by gathering professionals from every corner of the industry....

Supporting Practice

PIMFA are dedicated to providing hands-on guidance and practical support to our members on the wide-ranging issues across regulatory compliance and policy. ...

Regulatory Policy and Compliance

Ensuring firms adhere to rules, guidelines, and regulations, maintaining market integrity and consumer protection....

The UK's departure from the EU, requiring regulatory adjustments to ensure financial stability and consumer protection....

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....

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....

Managing relationships with stakeholders, including government, regulators, and the public, to help shape policy and regulatory outcomes....

Our Agenda for Government

Our policies and goals for creating a UK culture of thriving financial health....

Parliamentary Support

Collaborating with legislators to shape the future of financial regulation....

Firm’s internal processes, systems, and controls, ensuring efficient, secure, compliant, and resilient operational functions....

Artificial Intelligence

Technology using algorithms and data to enhance decision-making, improve efficiency, and manage risks....

Client Assets Sourcebook (CASS)

CASS (Client Assets Sourcebook) rules ensuring firms safeguard and properly handle client assets and funds....

Protecting financial firms' systems, data, and customers from cyber threats through resilience, risk management, and regulatory compliance....

The use of technology to enhance shareholder engagement, communication, and information access in financial markets....

Operational Resilience

The ability to prevent, respond to, and recover from disruptions, ensuring continuous services....

T+1 Accelerated Settlement

Transitioning to a new UK settlement cycle where financial transactions are completed one business day after the trade date....

Compliance with tax laws and promoting transparency....

Trading and Settlement

Processes involving buying, selling, and transferring ownership of financial instruments, ensuring transparency and efficiency....

Transaction Reporting

The obligation for firms to report details of financial transactions to ensure market transparency and integrity....

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 consist of committees, forums, briefings and working groups for our member firms to discuss and examine key topics within our industry....

PIMFA’s Committees are a place for decision and action. They focus on deciding PIMFA’s strategies and work plans; agree positions and campaigns; and outputs from these add value to...

Forums and Briefings

PIMFA’s Forums & Briefings are available to all members and provide updates on recent activities and announcements from the PIMFA team and provide behind-the-scenes details on initiatives and policy and...

PIMFA’s Working Groups are a place for members to discuss projects, consultations, publications and campaigns in relevant policy areas....

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

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...

Celebrations of the best and brightest in our industry...

Content-rich one day events with packed speaker agendas and cutting edge thought leadership...

Opportunities to connect with industry peers and expand your network...

Interactive in-person sessions curated to specific delegate cohorts...

Large scale flagship events cutting across multiple cohorts and disciplines...

See past events....

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....

Training and mentoring programmes where delegates collaborate and develop deep skills that align with business needs...

Short, deep dive conversations with experts on the topics that matter most to you....

Training Courses

Courses that give your team the ‘must-have’ knowledge and skills to keep up with regulatory change...

Stay informed of the latest regulatory, compliance & risk issues impacting your firm...

Webinars on Demand

View our past webinars on demand....

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...

Submit Industry Event

Click here to submit your firm's events....

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...

PIMFA’s Committees are a place for decision and action. They focus on deciding PIMFA’s strategies and work plans; agree positions and campaigns; and outputs from these add value to...

Forums and Briefings

PIMFA’s Forums & Briefings are available to all members and provide updates on recent activities and announcements from the PIMFA team and provide behind-the-scenes details on initiatives and policy and...

PIMFA’s Working Groups are a place for members to discuss projects, consultations, publications and campaigns in relevant policy areas....

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...

PIMFA Response Papers

See PIMFA's response papers to key bodies such as UK's regulators and government departments on important key issues. ...

The PIMFA Bulletin is our weekly email update delivering news and current affairs from within and around the industry. It also provides future insight on upcoming events and important information...

PIMFA Press Releases

Read PIMFA's Press Releases here....

Read PIMFA's thoughts and opinions on industry hot topics in our regular blogs....

Read the latest industry thoughts and opinions from our members in our regular guest blog....

PIMFA’s magazine contains articles and thought leadership on current issues, hot topics and future developments from PIMFA members. Always a thought-provoking read....

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....

Current Asset Allocation

Each of these portfolios contains different proportions of UK equities, international equities, bonds, cash and alternatives to reflect the investment aims of UK wealth managers. The changes in their values...

Index Values (Private Investor Index Series)

The Daily Index Values above are recorded at the end of each trading day. Therefore the figures shown are from the end of the previous trading day. ...

Recent/Historic Asset Allocations (Private Investor Index Series)

View recent/historic asset allocations for the Private Investor Index Series. ...

Further Information (Private Investor Index Series)

Find further information on the Private Investor Index Series....

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....

Current Asset Allocation

Each of these portfolios contains different proportions of UK equities, international equities, bonds, cash and alternatives to reflect the investment aims of UK wealth managers. The changes in their values...

Index Values (PIMFA Equity Risk Index Series)

The Daily Index Values above are recorded at the end of each trading day. Therefore the figures shown are from the end of the previous trading day. ...

Recent/Historic Asset Allocations (Equity Risk Index Series)

See details of recent and historic asset allocation changes to the MSCI PIMFA Equity Risk Index Series and other useful resources. ...

Further Information (Equity Risk Index Series)

Find further information on the Equity Risk Index Series....

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's staff cover a variety of aspects at PIMFA from expert technical guidance to membership support and much more....

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...

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....

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's membership is on a corporate level. We represent both full and associate member firms. See who our member firms are....

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....

Job opportunities at PIMFA....

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. ...

If you are thinking about investing in financial instruments or seeking financial advice you can use our ‘Find a Firm’ service to search for a PIMFA member firm. ...

Protecting Investments

See how you can protect your investments from criminals seeking to abuse the system and how to find reputable, regulated firm....

Frequently Asked Questions

This page contains frequently asked questions about the savings and investment industry. ...

PIMFA's membership is on a corporate level. We represent both full and associate member firms. See who our member firms are....

Full members provide a range of financial solutions including wealth management, financial advice and planning and execution services. They assist everyone from individuals and families to charities, pension funds, trusts...

Associate members provide professional services to the PIMFA community....

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’s Committees are a place for decision and action. They focus on deciding PIMFA’s strategies and work plans; agree positions and campaigns; and outputs from these add value to...

Forums and Briefings

PIMFA’s Forums & Briefings are available to all members and provide updates on recent activities and announcements from the PIMFA team and provide behind-the-scenes details on initiatives and policy and...

PIMFA’s Working Groups are a place for members to discuss projects, consultations, publications and campaigns in relevant policy areas....

PIMFA WealthTech

PIMFA Wealthtech develops new concepts and promotes the latest technologies for the benefit of our members....

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. ...

All the details you will need to contact PIMFA....

Results for {phrase} ({results_count} of {results_count_total})

Displaying {results_count} results of {results_count_total}

Show All Results

Filter by Topics

Select All Topics

Artificial Intelligence

Brexit

Client Assets Sourcebook (CASS)

Consumer Duty

Customer Vulnerability

Cyber Security

Data Protection

Digitisation

Financial Crime

Financial Services Compensation Scheme

Future of Advice

Indices

Investment

Markets in Financial Instruments Directive/Regulation (MiFID/MIFIR)

Operational Resilience

Pensions

Product Disclosure

Public Affairs

Retail Disclosure Framework

Senior Managers Certification Regime (SMCR)

Supervision

Sustainable Finance and ESG

T+1 Accelerated Settlement

Talent, Inclusion, Diversity and Equity (TIDE)

Taxation

Trading and Settlement

Transaction Reporting

Wealthtech

Home
Products
Non-Member Tickets
PLLT: PIMFA Live Online Learning: Market Abuse Are you doing enough? (NM)

PLLT: PIMFA Live Online Learning: Market Abuse Are you doing enough? (NM)

£400.00 ex. VAT

PLLT: PIMFA Live Online Learning: Market Abuse Are you doing enough? (NM) quantity

SKU: 243568-21979-pllt-pimfa-live-online-learning-market-abuse-are-you-doing-enough-nm Category: Non-Member Tickets

Join

Why PIMFA
Our Work
Events & Learning
News
Indices
- The MSCI PIMFA Private Investor Index Series
- The MSCI PIMFA Equity Risk Index Series
About Us

Home
Register
Login

Copyright © PIMFA 2025. All Rights Reserved.

Quick Links

About Us
Contact Us
Events & Learning

Membership

Why Join PIMFA
My PIMFA
PIMFA Full Members
PIMFA Associate Members
Find a Firm

Info & Legal

Legal
Terms and Conditions
PIMFA Brand

Social

Contact

tel: +44 (0) 20 7448 7100Email: info@pimfa.co.uk